Search results

Showing 221 to 230 of 1709 search results for This final notice refers to breaches of COND.

221. 2019 fines

     News stories Published: 16/01/2019 Last modified: 20/01/2020
     This page contains information about enforcement fines published during the calendar year ending 2019.

222. 2022 fines

     News stories Published: 28/02/2022 Last modified: 04/01/2023
     Enforcement fines published in 2022.

223. Final Notice 2018: Uvenco Limited [pdf]

     Final notices Published: 25/06/2018
     This final notice

224. Final Notice 2023: Statum Limited [pdf]

     Final notices Published: 07/08/2023
     This Final Notices 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.

225. Final Notice 2018: J.V. Motors Limited [pdf]

     Final notices Published: 22/06/2018
     This final

226. 2020 fines

     News stories Published: 21/01/2020 Last modified: 02/12/2022
     This page contains information about enforcement fines published during the calendar year ending 2020.

227. Final Notice 2018: Gary Lea Whitlock [pdf]

     Final notices Published: 26/06/2018
     This final

228. Final Notice 2018: Col Smith Car Sales [pdf]

     Final notices Published: 26/06/2018
     This final

229. First Supervisory Notice 2019: SVS Securities Plc [pdf]

     Supervisory notices Published: 08/08/2019
     This first supervisory notice refers to a failure to satisfy the suitability and appropriate resources threshold conditions (COND) and to breaches of SYSC, PROD and PRIN. We imposed requirements on the firm.

230. 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.