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Showing 821 to 830 of 1701 search results for This Final Notice refers to breaches of PRIN.

  1. Final Notice 2023: Richard John Hamilton (Trading as Hamilton Motors and Richard H Hamilton Car Sales) [pdf]

    Final notices Published: 19/05/2023
    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

  2. Final Notice 2021: Lloyds Bank General Insurance Limited, St Andrew’s Insurance Plc, Lloyds Bank Insurance Services Limited and Halifax General Insurance Services Limited [pdf]

    Final notices Published: 08/07/2021
    This Final Notice (Lloyds Bank General Insurance Limited, St Andrew’s Insurance Plc, Lloyds Bank Insurance Services Limited and Halifax General Insurance Services Limited) refers to breaches of PRIN 3 and PRIN 7 related to communications with

  3. Final Notice 2023: Stratton Leasing Limited [pdf]

    Final notices Published: 15/02/2023
    'The Final Notice refers to breaches of the suitability and appropriate resources Threshold Conditions (COND), and to be open and co-operative with the Authority (Prin 11) in the consumer credit sector. We imposed a cancellation.

  4. Final notice 2015: Big T Media Limited [pdf]

    Final notices Published: 08/12/2015 Last modified: 08/12/2015
    The final notice refers to breaches of COND, CONC, PRIN 11, CASS, SYSC related to threshold conditions and failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

  5. Final Notice 2022: GAM International Management Limited [pdf]

    Final notices Published: 30/03/2022
    The Final Notice refers to breaches of PRIN 2 and 8 related to the management of conflicts of interest in the asset management sector. We imposed a financial penalty.

  6. Final Notice 2018: Rose Motors (Philip Meyer trading as) [pdf]

    Final notices Published: 04/01/2018
    The final notice refers to breaches of Principle 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  7. Decision Notice 2024: Demetrios Christos Hadjigeorgiou [pdf]

    Decision notices Published: 24/06/2024
    This Decision Notice (Demetrios Christos Hadjigeorgiou) refers to breaches of PRIN 1 and PRIN 6 related to failing to act with integrity and to failing to exercise due care, skill and diligence in the pensions sector. Our view is that a financial

  8. Decision Notice 2024: David John Alexander Stephen [pdf]

    Decision notices Published: 24/06/2024
    This Decision Notice (David John Alexander Stephen) refers to breaches of PRIN 1 and PRIN 6 related to failing to act with integrity and to failing to exercise due care, skill and diligence in the pensions sector. Our view is that a financial

  9. Decision Notice 2022: James Paul Goodchild [pdf]

    Decision notices Published: 24/05/2024
    This Decision Notice (James Paul Goodchild) refers to breaches of PRIN 1, lack of integrity related to failing to act with integrity in the pensions sector. Our view is that a financial penalty and prohibition should be imposed.

  10. Decision Notice 2022: Stephen Joseph Burdett [pdf]

    Decision notices Published: 24/05/2024
    This Decision Notice (Stephen Joseph Burdett) refers to breaches of PRIN 1, lack of integrity related to failing to act with integrity and failing to operate in accordance with permissions in the pensions sector. Our view is that a financial penalty
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