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Showing 1721 to 1730 of 2139 search results for Final Notice refers to breaches.
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Final notice 2020: Waterside Classics Limited [pdf]
This final notice (Waterside Classics 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 Investment advisory sector. We imposed a cancellation. -
Final Notice 2018: De Luxe Drinks Ltd [pdf]
This final notice 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. -
Decision Notice: Stuart Malcolm Forsyth [pdf]
This Decision Notice refers to breaches of APER1 and FIT related to a lack of fitness/propriety in the insurance sector. Our view is that a prohibition and financial penalty should be imposed. -
Final Notice 2018: Capital Steel Limited [pdf]
This final notice (Capital Steel 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: AGK Cars and Son [pdf]
This final notice 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 2021: Convert My Conservatory [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the credit broking sector. We refused the firm’s application for authorisation. -
Final Notice 2019: Lewis Alexander 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 2018: Bouchers with Allansons Limited [pdf]
This final notice (Bouchers with Allansons Limited) refers to failure to keep adequate records under SYSC 9.1.1R, meaning the FCA cannot satisfy itself as to the adequacy of debt advice. Other concerns include: deficient quality assurance process; -
Final Notice: 24 Hour Car Limited [pdf]
This final notice (24 Hour Car 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 2018: PG Motors Sales and Servicing Limited [pdf]
This FCA final notice (PG Motors Sales and Servicing 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