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Showing 711 to 720 of 1281 search results for final notice refers to breaches of COND and PRIN.

  1. Final Notice 2016: TOCC Limited [pdf]

    Final notices Published: 30/11/2016
    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.

  2. Final Notice 2017: Charles Rooney [pdf]

    Final notices Published: 05/05/2017
    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.

  3. Final Notice 2021: Sunrise Brokers LLP [pdf]

    Final notices Published: 12/11/2021
    This Final Notice (Sunrise Brokers LLP) refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty

  4. Final Notice 2017: Stephen Moore [pdf]

    Final notices Published: 31/03/2017
    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.

  5. Final Notice 2017: Stuart Graham [pdf]

    Final notices Published: 28/02/2017
    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.

  6. Final Notice 2022: JLT Specialty Limited [pdf]

    Final notices Published: 22/06/2022
    This Final Notice (JLT Speciliaty Limited) refers to breaches of PRIN 3 related to anti-bribery and corruption and financial crime in the general insurance and protection sector. We imposed a financial penalty.

  7. Final Notice 2020: North West Seamless Coating Ltd [pdf]

    Final notices Published: 06/02/2020
    This final notice (North West Seamless Coating Ltd ) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  8. Final Notice 2016: Phillip Whiffin [pdf]

    Final notices Published: 17/11/2016
    This final notice refers to breaches of PRIN 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  9. Final Notice 2017: Gareth McCrone [pdf]

    Final notices Published: 03/04/2017
    This final notice refers to breaches of PRIN related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  10. Final Notice 2020: Awesome 3 Limited [pdf]

    Final notices Published: 25/03/2020
    This final notice (Awesome 3 Limited) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.
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