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Showing 1171 to 1180 of 1719 search results for final notice refers to breaches of COND.
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FCA Final Notice 2014: Lloyds Bank plc and Bank of Scotland plc [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and conflicts of interest in the retail banks sector. We imposed a fine. -
Final Notice 2017: Dennis Ferguson [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 2020: Southgate Garage [pdf]
This final notice (Southgate Garage) 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 2016: Peter Roy Alexander [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. -
FCA Final Notice 2014: Codeway Finance Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
Final Notice 2017: Woodston 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: Mervyn Johnston [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. -
FCA Final Notice 2014: Yorkshire Building Society [pdf]
This final notice refers to breaches of PRIN 7 related to financial promotions in the building society sector. We imposed a fine. -
Final Notice 2017: Michael McGillen [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 2021: Simon John Varley [pdf]
This Final Notice refers to Section 63A FSMA and breaches relating to APER 1 and FIT relating to a lack of honesty and integrity in the investment advisory sector. We imposed a fine and a prohibition.