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Showing 1241 to 1250 of 1252 search results for This Final Notice refers to breaches of PRIN 2 and PRIN.
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Final Notice 2020: Unique Claims Solutions Ltd [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation. -
Final Notice 2021: Car Finance Today Limited [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: Paragon Insurance 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 Investment advisory sector, General Insurance and Protection sector and Consumer Credit. -
Final Notice 2018: R M H Financial Services (Robert Michael Hulme trading as) [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 General -
Final Notice 2021: Integer Vehicle Solutions LTD [pdf]
This final notice (Integer Vehicle Solutions LTD) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for -
Final Notice 2022: Life Protection Centre Ltd [pdf]
This final notice refers to a failure to satisfy SUP 11.4, to be open and cooperative (PRIN 11) in the Insurance Intermediary sector and FIT 2.2. We refused the individual’s application for authorisation. -
Final Notice 2019: Tunstall Trade Car Sales Limited [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND) relating to a lack of fitness/propriety having regard to all the circumstances, including connections with other persons, and failing to be open and -
Final Notice 2020: PPI Tax Rebate Ltd, formerly carrying on business as Tax Back PPI Ltd and Helpful Law Ltd [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation. -
Final Notice 2022: Neon Digital (Document Solutions) Ltd [pdf]
This Final Notice (Neon Digital (Document Solutions) 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. -
First Supervisory Notice 2022: Pello Capital Limited [pdf]
This First Supervisory Notice refers to breaches of Prin 3, 4 and 11 related to failing demonstrate that Pello Capital Limited has adequate and appropriate systems and controls to effectively manage risks. Failing to maintain adequate financial