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Final Notice 2022: Lyonnaise De Banque [pdf]
This final notice (Lyonnaise De Banque) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in relation to a firm within the TPR. We imposed a cancellation. -
Final Notice: Aviva Pension Trustees UK Limited, Aviva Wrap UK Limited [pdf]
This final notice refers to breaches of PRIN 3, PRIN 10, CASS Rules, SUP and SYSC related to client money/assets and culture/governance in the life insurance sector. We imposed a fine. -
Final Notice 2023: Autofinch Limited [pdf]
This final notice (Autofinch Limited) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation. -
Final Notice 2019: London Health And Wellness Ltd [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation. -
Final Notice 2023: Equifax Limited [pdf]
This Final Notice relates to the outsourcing of data processing to an intragroup entity which experienced a data breach. The Final Notice refers to risk management failings (Principle 3) and failings in relation to treating customers fairly and -
Final Notice 2022: Stuart Rea [pdf]
This Final Notice (Stuart Rea) refers to breaches of FIT. We imposed a prohibition. -
Final notice 2020: Bicycleshack [pdf]
This final notice (Bicycleshack) 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 2019: UBS AG [pdf]
This final notice (UBS AG) refers to breaches of SUP 17, SUP 15 and PRIN 3 related to transaction reporting failures in the investment bank sector. We imposed a fine. -
Final Notice 2020: RL Cars [pdf]
This final notice (RL Cars) 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 2023: EI 1XCHANGE Limited [pdf]
This Final Notice (EI 1XCHANGE Limited) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the Consumer Credit sector. We imposed a cancellation.