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Showing 891 to 900 of 1068 search results for This final notice refers to breaches of PSR related.

  1. Final Notice 2022: TSB Bank plc [pdf]

    Final notices Published: 20/12/2022
    This Final Notice refers to breaches of Prin 2 related to failing to exercise due skill, care and diligence and Prin 3 for not taking reasonable care in organising and controlling its affairs responsibly and effectively, with adequate risk

  2. Decision Notice 2020: Eurofin Capital Ltd [pdf]

    Decision notices Published: 05/08/2020
    This decision notice (Eurofin Capital Ltd) refers to breaches of The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 related to failing to be open and co-operative in the trading firm sector.

  3. Final notice 2016: Towergate Underwriting Group Limited [pdf]

    Final notices Published: 13/07/2016 Last modified: 13/07/2016
    This final notice refers to breaches of PRIN 3, PRIN 10 and CASS related to client money/assets in the general insurance and protection sector. We imposed a fine.

  4. Final Notice 2017: Mr John Chiesa [pdf]

    Final notices Published: 12/10/2017
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition and withdrawal.

  5. Final notice 2016: Millburn Insurance Company Limited (in administration) [pdf]

    Final notices Published: 01/02/2016 Last modified: 01/02/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector. We imposed a fine.

  6. Final Notice 2015: Merlin Loans and Mortgages Limited [pdf]

    Final notices Published: 14/09/2015 Last modified: 14/09/2015
    This final notice refers to breaches of PRIN 6, PRIN 11, DISP and COND related to threshold conditions, failing to be open and co-operative, and unfair treatment of customers in the consumer credit sector. We imposed a cancellation.

  7. Final Notice 2015: Diane Hunter t/a Village Autocare [pdf]

    Final notices Published: 02/09/2015 Last modified: 02/09/2015
    This final notice refers to breaches of COND and PRIN 11 related to threshold conditions, failing to be open and co-operative and lack of fitness/propriety in the consumer credit sector. We imposed a refusal.

  8. Final Notice 2019: Mark John Owen [pdf]

    Final notices Published: 16/01/2019
    This final notice (Mark John Owen) refers to breaches by an executive director of APER 1, APER 4 and FIT related to a lack of fitness/propriety and failing to act on information appropriately in the asset management sector. We imposed a fine and

  9. Final notice 2020: Gosforth Car Centre Ltd [pdf]

    Final notices Published: 28/01/2020
    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.

  10. Final Notice 2019: Audi Technik Centre Ltd [pdf]

    Final notices Published: 20/09/2019
    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.