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Showing 691 to 700 of 1210 search results for This final notice refers to breaches of PRIN 3 related.

  1. Final Notice 2017: Elswick and Cruddas Park 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.

  2. 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]

    Final notices Published: 08/07/2021
    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

  3. Final notice 2015: Big T Media Limited [pdf]

    Final notices Published: 08/12/2015 Last modified: 08/12/2015
    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.

  4. Final Notice 2021: Ron Treherne IFA Ltd [pdf]

    Final notices Published: 25/05/2021
    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.

  5. Final Notice 2022: GAM International Management Limited [pdf]

    Final notices Published: 30/03/2022
    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.

  6. Final Notice 2018: Rose Motors (Philip Meyer trading as) [pdf]

    Final notices Published: 04/01/2018
    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.

  7. Final Notice 2022: Mohammed Ataur Rahman Prodhan [pdf]

    Final notices Published: 18/11/2022
    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.

  8. Final notice 2016: Aspect Garage Ltd [pdf]

    Final notices Published: 05/05/2016 Last modified: 05/05/2016
    This final notice refers to breaches of COND, PRIN 11, failing to be open and co-operative. We imposed a refusal.

  9. Final notice 2016: Motoassist UK Limited [pdf]

    Final notices Published: 05/05/2016 Last modified: 05/05/2016
    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.

  10. Final notice 2016: Rivington Bikes Limited [pdf]

    Final notices Published: 05/05/2016 Last modified: 05/05/2016
    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.