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Showing 691 to 700 of 1210 search results for This Final Notice refers to breaches of PRIN 3 related.
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Final Notice 2017: Elswick and Cruddas Park Credit Union Limited [pdf]
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the credit union sector. We imposed a cancellation. -
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]
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 -
Final notice 2015: Big T Media Limited [pdf]
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. -
Final Notice 2021: Ron Treherne IFA Ltd [pdf]
This Final Notice (Ron Treherne IFA Ltd) refers to breaches of COND, PRIN 6 and PRIN 11 by a financial adviser. We imposed a cancellation of the adviser’s Part 4A permission. -
Final Notice 2022: GAM International Management Limited [pdf]
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. -
Final Notice 2018: Rose Motors (Philip Meyer trading as) [pdf]
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. -
Final Notice 2022: Mohammed Ataur Rahman Prodhan [pdf]
This final notice refers to a breach of APER 6, and being knowingly concerned in a breach of PRIN 3 in relation to financial crime controls in the retail bank sector. We have imposed a public censure. -
Final notice 2016: Aspect Garage Ltd [pdf]
This final notice refers to breaches of COND, PRIN 11, failing to be open and co-operative. We imposed a refusal. -
Final notice 2016: Motoassist UK Limited [pdf]
This final notice refers to breaches of PRIN 11, failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final notice 2016: Rivington Bikes Limited [pdf]
This final notice refers to breaches of PRIN 11, failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.