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Showing 661 to 670 of 845 search results for final notice refers to breaches of PRIN 3 and PRIN 5 related.

  1. Final Notice 2022: Matthew Charles Kent [pdf]

    Final notices Published: 06/10/2022
    This Final Notice (Matthew Charles Kent) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial

  2. Final Notice 2017: Spand Motors (Joseph Jones trading as) [pdf]

    Final notices Published: 10/11/2017
    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.

  3. Final Notice 2015: Quick Purchase [pdf]

    Final notices Published: 23/10/2015 Last modified: 23/10/2015
    This Final Notice refers to breaches of PRIN 6 and MCOB (Mortgage Conduct of Business Rules) related to unfair treatment of customers in the sale and rent back sector. We imposed a fine and redress.

  4. Final Notice 2018: Polmaise Community Credit Union Limited [pdf]

    Final notices Published: 29/03/2018
    This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the credit union sector. We imposed a cancellation.

  5. 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

  6. Final Notice 2017: Claudia Vida [pdf]

    Final notices Published: 30/08/2017
    This final notice refers to breaches of Principle 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  7. Final Notice 2022: Stephen John Tomlin [pdf]

    Final notices Published: 06/10/2022
    This Final Notice (Stephen John Tomlin) refers to breaches of APER 7 and APER 6 related to the failure to ensure compliance oversight and compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article

  8. Final Notice 2018: Rose Motors (Philip Meyer trading as) [pdf]

    Final notices Published: 04/01/2018
    The final notice refers to breaches of Principle 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: Amjad Motors Limited [pdf]

    Final notices Published: 13/03/2017
    This final notice refers to breaches of COND and Principle 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  10. Final Notice 2024: Citigroup Global Markets Limited [pdf]

    Final notices Published: 22/05/2024
    This Final Notice refers to breaches of PRIN 2 and 3, and MAR 7A 3.2 related to wholesale conduct in the investment bank sector. We imposed a fine.