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Showing 1531 to 1540 of 1709 search results for This final notice refers to breaches of COND.
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Final notice 2016: Peter Francis Johnson [pdf]
This final notice refers to breaches of APER 1, APER 4 and FIT related to failing to be open and co-operative, failing to act on information appropriately, a lack of fitness/propriety and mis-selling in the asset management sector. We imposed a -
Final Notice 2017: Clean Car Motor Company [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 2024: James William Edward Lewis [pdf]
This Final Notice refers to a failure to act with due care, skill and integrity. We imposed a financial penalty and a prohibition order. -
Final Notice 2017: SFS Home Assist 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 2018: Barrie Price 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 2024: Link Fund Solutions Limited [pdf]
This Final Notice refers to a failure by Link Fund Solutions Limited to act with due skill, care and diligence in carrying out its role as Authorised Corporate Director of the Woodford Equity Income Fund. We imposed a requirement to pay restitution -
Final notice 2020: Gosforth Car Centre Ltd [pdf]
This final notice (Gosforth Car Centre Ltd) 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 2018: Santander UK plc [pdf]
This final notice (Santander UK plc) refers to breaches of PRIN 3, PRIN 6 and PRIN 11 related to governance, unfair treatment of customers, failing to act on information appropriately and failing to be open and co-operative in the retail bank sector. -
Final Notice 2018: William Joseph Elvin [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 2019: Audi Technik Centre Ltd [pdf]
This final notice (Audi Technik Centre Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.