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Showing 461 to 470 of 1210 search results for This Final Notice refers to breaches of PRIN 3 related.

  1. Final Notice 2020: John Norton [pdf]

    Final notices Published: 29/05/2020
    This final notice (John Norton) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  2. Final Notice 2018: David Lloyd [pdf]

    Final notices Published: 08/05/2018
    This final notice (David Lloyd) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  3. Final notice 2016: Towergate Underwriting Group Limited [pdf]

    Final notices Published: 13/07/2016 Last modified: 13/07/2016
    This final notice refers to breaches of PRIN 3, PRIN 10 and CASS related to client money/assets in the general insurance and protection sector. We imposed a fine.

  4. Final Notice 2019: Alonso Lopez [pdf]

    Final notices Published: 12/12/2019
    This final notice (Alonso Lopez) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  5. Final Notice 2022: Julius Baer International Limited [pdf]

    Final notices Published: 30/11/2022
    This Final Notice refers to breaches of PRIN 1, PRIN 3 and PRIN 11 related to failing to act with integrity, governance and failing to be open and co-operative in the in the Wealth Management and Private Banking sector. We imposed a financial penalty

  6. Final Notice 2020: Inovtrix Ltd [pdf]

    Final notices Published: 17/07/2020
    This final notice Inovtrix Ltd refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  7. Final notice 2016: GGK Investments Limited [pdf]

    Final notices Published: 15/06/2016 Last modified: 15/06/2016
    This final notice refers to breaches of PRIN 4, COND and INPRU-INV related to threshold conditions in the investment adviser sector. We imposed a cancellation.

  8. Final Notice 2020: John Richards [pdf]

    Final notices Published: 12/02/2020
    This final notice (John Richards) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  9. Final notice 2020: Exigotrade Ltd [pdf]

    Final notices Published: 28/01/2020
    This final notice (Exigotrade Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  10. Final notice 2020: Thomas Jones [pdf]

    Final notices Published: 01/06/2020
    This final notice (Thomas Jones) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.