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Showing 1031 to 1040 of 1209 search results for final notice refers to breaches of COND 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. Final Notice 2015: Kudu Emerging Markets Limited [pdf]

    Final notices Published: 04/11/2015 Last modified: 04/11/2015
    This Final Notice refers to breaches of PRIN 11 related to failing to be open and co-operative and threshold conditions in the Investment Adviser sector. We imposed a cancellation.

  3. Final Notice 2020: HMC Cars & Vans Limited [pdf]

    Final notices Published: 05/08/2020
    This final notice HMC Cars & Vans 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.

  4. Final Notice 2015: Mobile Money Transfer Limited [pdf]

    Final notices Published: 11/08/2015 Last modified: 11/08/2015
    This final notice refers to breaches of PSR, related to payment service regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation.

  5. Final Notice 2017: Mrs Colette Chiesa [pdf]

    Final notices Published: 12/10/2017
    This final notice refers to breaches of APER 4 and FIT related to a lack of fitness/propriety and failing to be open and co-operative in the investment adviser sector. We imposed a prohibition, withdrawal and fine.

  6. Final Notice 2017: Essex Motor Centre Ltd [pdf]

    Final notices Published: 06/11/2017
    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.

  7. Final notice 2016: Matrix Integrated Financial Solutions [pdf]

    Final notices Published: 22/07/2016 Last modified: 22/07/2016
    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 cancellation.

  8. 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.

  9. Final Notice 2018: John Davies Car Sales (John Davies trading as) [pdf]

    Final notices Published: 21/09/2018
    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.

  10. 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
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