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Showing 1191 to 1200 of 1260 search results for Final Notice refers to breaches of PRIN 2 and PRIN.
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Final Notice 2017: Metallic Cars Ltd [pdf]
Conduct: Failing to be open and co-operative Breaches: PRIN 11 Subject: Firm Outcome: Cancellation Sector: Consumer Credit -
Final Notice 2018: Independent Portfolio Managers Limited [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 investment advisory sector, mortgage lenders and intermediaries sector and consumer -
Final Notice 2020: Aqua Specialist Environmental Services 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. -
Final Notice 2017: Phoenix Clinic Limited [pdf]
Conduct: Failing to be open and co-operative Breaches: PRIN 11 Subject: Firm Outcome: Cancellation Sector: Consumer Credit -
Final Notice 2020: Ian Mackin (trading as Caledonia Finance) [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, General Insurance Protection sector, Investment Advisory sector -
Final Notice 2019: Bicycle Doctor (South Wales) Ltd [pdf]
This final notice (Bicycle Doctor (South Wales) 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 2022: Esfera Capital, Agencia de Valores, S.A. [pdf]
This Final Notice (Esfera Capital) refers to a failure to satisfy the effective supervision and suitability threshold conditions (COND) and to be open and co-operative with the Authority (PRIN 11) in relation to a firm within the TPR. We imposed a -
Final Notice 2018: Stallion Financial Investments Plc [pdf]
This final notice refers to an application for Part 4A authorisation (‘the Application’) by a firm in respect of the regulated activities subject to the Application. Due to concerns about the firm’s ability to satisfy and continue to satisfy -
Final Notice 2019: One Stop Financial Services Limited [pdf]
This final notice (One Stop Financial Services Limited) refers to a failure to satisfy threshold conditions (COND), be open and co-operative with the Authority (PRIN 11), provide appropriate resources, be fit and proper, be ready willing and -
Final notice 2018: Town & Country Motor Centre (Cornwall) Limited [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.