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Showing 911 to 920 of 1275 search results for This final notice refers to breaches of COND and PRIN.
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Final Notice: Steven Smith [pdf]
This final notice refers to breaches of APER 6 and PRIN 3 (knowingly concerned) related to financial crime and a lack of fitness/propriety in the retail bank sector. We imposed a fine and prohibition. -
FCA Final Notice 2014: David John Hewitt trading as Bexley Insurance Centre [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance, intermediary sector. We imposed a cancellation. -
FCA Final Notice 2013: Castlehill Wealth Management Limited [pdf]
This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation. -
Final Notice 2017: Sterling Bathrooms Limited [pdf]
This final notice refers to breaches of PRIN 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice: Sonali Bank (UK) Ltd [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 11 related to culture/governance, failing to be open and co-operative and financial crime in the retail bank sector. We imposed a fine and suspension/restriction. -
Final Notice 2016: Justin Pollington-Woods [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: Bank of Scotland Plc [pdf]
This final notice refers to breaches of PRIN 11 and SUP, relating to failing to be open and cooperative in the retail bank sector. We imposed a financial penalty. -
Final Notice 2019: E & N Ritchie [pdf]
This final notice (E & N Ritchie) 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 2016: Clarks of Garforth 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 2017: Grange Automotive (Simon Cheung trading as) [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.