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Showing 541 to 550 of 1701 search results for This final notice refers to breaches of PRIN.
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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 2018: Emily Cook [pdf]
This final notice (Emily Cook) 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: Finance Made Simple Ltd [pdf]
This final notice refers to breaches of COND and PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final Notice 2020: John Norton [pdf]
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. -
Final Notice 2019: Minstrel Ltd [pdf]
This final notice (Minstrel 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: David Lloyd [pdf]
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. -
Final Notice 2017: Juceff & Co Trading Limited [pdf]
This final notice refers to breaches of COND and PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2019: Alonso Lopez [pdf]
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. -
Final Notice 2024: Inspirational Financial Management Ltd (in administration) [pdf]
This Final Notice (Inspirational Financial Management Ltd (in administration)) refers to breaches of Principles 3, 6 and 9 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a financial -
Final Notice 2020: Inovtrix Ltd [pdf]
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.