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Showing 1461 to 1470 of 3283 search results for This final notice refers.
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Final Notice 2021: Sapien Capital Limited [pdf]
This Final Notice (Sapien Capital Limited) refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty. -
Final Notice 2019: Andrew James Tinney [pdf]
This final notice (Andrew James Tinney) refers to breaches of APER 1 related to failing to be open and co-operative and a lack of fitness/propriety in the wealth management and private banking sector. We imposed a public censure. -
Final Notice 2021: Carma Online Limited [pdf]
This final notice (Carma Online 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 2019: Stewart Owen Ford [pdf]
This final notice (Stewart Owen Ford) refers to breaches by an executive director of APER 1, APER 4 and FIT related to mis-selling, failing to be open and co-operative, a lack of fitness/propriety, conflicts of interest, and failing to act on -
Final Notice 2020: Cesco Investments Ltd [pdf]
This final notice (Cesco Investments Ltd) refers to a failure to satisfy the appropriate resources and suitability threshold condition (COND) in the designated investment business sector. We imposed a cancellation. -
Final Notice 2020: Rochdale Automart Ltd [pdf]
This final notice (Rochdale Automart Ltd) 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: Mayfair Jewellers Ltd [pdf]
This Final Notice (Mayfair Jewellers Ltd) refers to a failure to satisfy the suitability threshold conditions (COND) and to be open and co-operative with the Authority (PRIN 11) in the Consumer Credit sector. We imposed a cancellation -
Final Notice 2019: Grandison Garage Ltd [pdf]
This final notice (Grandison Garage 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 2019: Music Matters Limited [pdf]
This final notice (Music Matters Limited) 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 2021: Accident & Injury Assist [pdf]
This final notice (Accident & Injury Assist) 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 authorisation