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Showing 3831 to 3840 of 4349 search results for FSA Final Notice.
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Final Notice 2019: Port Dundas Car Sales Limited [pdf]
This final notice (Port Dundas Car Sales 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. -
TR: Staff remuneration and incentives
This review looked at how consumer credit firms pay and incentivise their staff and manage the risks arising from these reward arrangements. -
FCA Final Notice 2014: Cathedral City Wealth Management Limited [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisor sector. We imposed a cancellation. -
Final Notice 2017: We Source Any Vehicle Limited [pdf]
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. -
Final Notice 2022: GAM International Management Limited [pdf]
The Final Notice refers to breaches of PRIN 2 and 8 related to the management of conflicts of interest in the asset management sector. We imposed a financial penalty. -
Final Notice 2017: KJ Precious Metal Trading LLP [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the investment adviser sector. We imposed a cancellation. -
Final Notice 2021: Hudson Bay Finance Company Ltd [pdf]
This final notice (Hudson Bay Finance Company Ltd) 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: Nationwide Debt Consultants Limited [pdf]
This final notice refers to a failure to satisfy threshold conditions 2C (effective supervision), 2D (appropriate resources), and 2E (suitability) in the Consumer Credit: Debt Management sector. We imposed a refusal of the applicant’s Part 4A -
Final Notice 2020: Red Tree Motor Company Limited [pdf]
This final notice (Red Tree Motor Company 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. -
Final notice 2020: GMAC Plumbing and Gas Services Ltd [pdf]
This final notice (GMAC Plumbing and Gas Services Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.