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Showing 831 to 840 of 1260 search results for final notice refers to breaches of PRIN 3 and PRIN.
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Final Notice 2018: Ian Murray [pdf]
This final notice -
Decision Notice 2022: James Paul Goodchild [pdf]
This Decision Notice (James Paul Goodchild) refers to breaches of PRIN 1, lack of integrity related to failing to act with integrity in the pensions sector. Our view is that a financial penalty and prohibition should be imposed. -
Final Notice 2018: Uvenco Limited [pdf]
This final notice -
Decision Notice 2022: Stephen Joseph Burdett [pdf]
This Decision Notice (Stephen Joseph Burdett) refers to breaches of PRIN 1, lack of integrity related to failing to act with integrity and failing to operate in accordance with permissions in the pensions sector. Our view is that a financial penalty -
Final Notice 2018: J.V. Motors Limited [pdf]
This final -
Final Notice 2018: Gary Lea Whitlock [pdf]
This final -
Decision Notice 2018: Mohammad Ataur Rahman Prodhan [pdf]
This decision notice refers to an alleged breach of APER 6, and allegedly being knowingly concerned in a breach of PRIN 3 in relation to financial crime controls in the retail bank sector. We have proposed imposing a financial penalty. -
Final Notice 2023: Statum Limited [pdf]
This Final Notices 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. -
Final Notice 2018: Col Smith Car Sales [pdf]
This final -
Final Notice 2018: Oaklea Autos NI Ltd [pdf]
This final