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Showing 791 to 800 of 1210 search results for This Final Notice refers to breaches of PRIN 3 related.

  1. Final Notice 2022: Grant Hawthorne Motor Company Ltd [pdf]

    Final notices Published: 04/02/2022
    This Final Notice (Grant Hawthorne Motor 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.

  2. Final Notice 2017: Merrill Lynch International [pdf]

    Final notices Published: 23/10/2017
    This final notice refers to breaches of PRIN 3 and Article 9 of EMIR relating to transaction reporting in the investment banking sector. We imposed a fine.

  3. Decision Notice 2018: Linear Investments Limited [pdf]

    Decision notices Published: 27/09/2018
    This decision notice refers to breaches of PRIN 3 related to market protection and market abuse in the trading firm sector. Our view is that a fine should be imposed. Linear has agreed the facts set out in the Notice, as well as liability for the

  4. Final Notice 2023: Andrew Michael Smith (trading as TRG Houghton) [pdf]

    Final notices Published: 31/01/2023
    This Final Notice (Andrew Michael Smith (trading as TRG Houghton)) 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

  5. Decision Notice 2017: Church Hill Finance (Anthony Badaloo trading as) [pdf]

    Decision notices Published: 03/02/2017
    This decision notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the investment adviser sector. Our view is that a cancellation should be imposed.

  6. Final Notice 2023: George Robert Mihalache (trading as Reable Autos) [pdf]

    Final notices Published: 10/08/2023
    This final notice (George Robert Mihalache (trading as Reable Autos)) 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

  7. Final Notice 2023: Gary Whitlock (trading as Imperial Motor Company) [pdf]

    Final notices Published: 14/03/2023
    This final notice (Gary Whitlock (trading as Imperial Motor Company)) 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

  8. Final Notice 2022: Cars and Van Sales Ltd [pdf]

    Final notices Published: 23/11/2022
    This final notice (Cars and Van Sales Ltd) 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.

  9. Final notice 2020: Powerplay-UK Performance Vehicles Limited [pdf]

    Final notices Published: 22/04/2020
    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.

  10. Final Notice 2021: Claims 4U Ltd [pdf]

    Final notices Published: 30/07/2021
    This final notice (Claims 4U Ltd) refers to a failure to satisfy the 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 authorisation.