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Showing 1251 to 1260 of 1275 search results for This final notice refers to breaches of COND and PRIN.

  1. Final Notice: Interactive Brokers (UK) Limited [pdf]

    Final notices Published: 25/01/2018
    This final notice refers to breaches of PRIN 3 and SUP 15.10.2R relating to poor market abuse controls and failure to report suspicious client transactions. We imposed a fine.

  2. Final Notice 2020: Five Star of Formby (Alan Gabrielson trading as) [pdf]

    Final notices Published: 12/02/2020
    This final notice (Five Star of Formby) 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: Wellsons Vehicle Solutions Limited [pdf]

    Final notices Published: 18/08/2017
    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.

  4. Final Notice 2015: The Co-operative Bank plc [pdf]

    Final notices Published: 11/08/2015 Last modified: 11/08/2015
    This final notice refers to breaches of Listing rules, for making false and misleading statements, and PRIN 11 for failing to be open and co-operative, by Co-operative Bank, a bank in the retail and commercial banking sector.

  5. Final Notice 2017: Margolis Business Systems Limited [pdf]

    Final notices Published: 30/08/2017
    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.

  6. Final notice 2020: James Creed & Acsar Shazadi & Anzelika Lazdovskaja Ltd [pdf]

    Final notices Published: 29/05/2020
    This final notice (James Creed & Acsar Shazadi & Anzelika Lazdovskaja 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 2020: Stuart Carnegie (trading as SC Motors and SC Veleting) [pdf]

    Final notices Published: 09/07/2020
    This final notice ( Stuart Carnegie (trading as SC Motors and SC Veleting)) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation

  8. Final Notice 2017: Peterlee Credit Union Limited [pdf]

    Final notices Published: 22/08/2017
    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.

  9. Final Notice 2017: Hull Northern Credit Union Limited [pdf]

    Final notices Published: 22/08/2017
    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.

  10. Final Notice: Norcounty Insurance Services Ltd [pdf]

    Final notices Published: 21/09/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the general insurance and protection and investment adviser sectors. We imposed a cancellation.