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Showing 1171 to 1180 of 1281 search results for final notice refers to breaches of COND and PRIN.

  1. Final Notice 2020: Lakeside Motor Group Limited [pdf]

    Final notices Published: 12/02/2020
    This final notice (Lakeside Motor Group Limited) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  2. Final Notice 2023: Lighthouse Advisory Services Limited [pdf]

    Final notices Published: 15/05/2023
    This Final Notice refers to breaches of Principles 9 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We published a public censure

  3. Final Notice 2017: RS Automotive Tunstall Limited [pdf]

    Final notices Published: 19/09/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  4. Final Notice 2018: Reginald George Arthur Jones [pdf]

    Final notices Published: 01/03/2018
    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.

  5. Final Notice 2020: Caerphilly Van Centre Limited [pdf]

    Final notices Published: 05/08/2020
    This final notice Caerphilly Van Centre Limited refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  6. FCA Final Notice 2014: Cathedral City Wealth Management Limited [pdf]

    Final notices Published: 10/03/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisor sector. We imposed a cancellation.

  7. Final Notice 2022: Santander UK Plc [pdf]

    Final notices Published: 09/12/2022
    This Final Notice refers to breaches of PRIN 3 related to the risk of financial crime in the Retail Banking sector. We imposed a financial penalty.

  8. FCA Final Notice 2013: Lloyds TSB Bank plc and Bank of Scotland plc [pdf]

    Final notices Published: 11/12/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 related to mis-selling, remuneration, and culture/governance in the retail banks sector. We imposed a fine.

  9. Final Notice 2019: Tradecenter Warrington Ltd [pdf]

    Final notices Published: 29/07/2019
    This final notice 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: JS Bedford Motors Ltd [pdf]

    Final notices Published: 20/09/2019
    This final notice (JS Bedford Motors Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.
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