Search results
Showing 631 to 640 of 1074 search results for Final Notice refers to breaches of PSR related.
-
Final Notice 2018: Terence Sefton Potter [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment sector. We imposed a prohibition. -
Final Notice 2017: Yo Yo Vending Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2021: Credit Suisse International, Credit Suisse Securities (Europe) Ltd, and Credit Suisse AG [pdf]
This Final Notice refers to breaches of Prin 2 and Prin 3 related to financial crime and anti-bribery and corruption failings in the investment banking sector. We imposed a financial penalty -
Final Notice 2018: C2 Group Ltd [pdf]
This final notice (C2 Group Ltd) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2017: Autocity (Scotland) Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2015: Auto Leasing UK Limited [pdf]
This Final Notice refers to breaches of COND and CONC related to Threshold Conditions in the Consumer Credit sector. We imposed a refusal. -
Final notice 2016: WH Car Sales Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2023: Mark Antony Abley [pdf]
This Final Notice refers to breaches of APER 2 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a financial penalty and a partial prohibition. -
Final Notice 2020: Perfectalign Limited [pdf]
This final notice (Perfectalign Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2017: Auto Safari Car Sales [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.