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Showing 1101 to 1110 of 1701 search results for This final notice refers to breaches of PRIN.

  1. Final Notice 2019: Nigel Oxman Cars Limited [pdf]

    Final notices Published: 19/09/2019
    This final notice (Nigel Oxman Cars 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.

  2. Final Notice 2021: Marco Carvalho (trading as MPR Car Sales) [pdf]

    Final notices Published: 24/02/2021
    This final notice Marco Carvalho (trading as MPR Car Sales) 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

  3. Final Notice 2020: Northwood Financial Management (trading as Stephen Jones) [pdf]

    Final notices Published: 09/07/2020
    This final notice (Northwood Financial Management (trading as Stephen Jones)) 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.

  4. Final Notice 2018: Anglia Motor Village Ltd [pdf]

    Final notices Published: 12/12/2018
    This final notice (Anglia Motor Village 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.

  5. Final Notice 2024: William Hofstetter [pdf]

    Final notices Published: 11/03/2024
    This Final Notice (William Hofstetter) refers to a breach of APER Statement of Principle 7 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition. It has been agreed

  6. Final Notice 2022: Sir Christopher Gent [pdf]

    Final notices Published: 05/08/2022 Last modified: 12/08/2022
    This Final Notice (Sir Christopher Gent) refers to breaches of the Market Abuse Regulations related to unlawful disclosure of inside information in the issuers sector. We imposed a financial penalty

  7. Final Notice: JEMM Motor Company Limited [pdf]

    Final notices Published: 19/07/2018
    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.

  8. Final Notice 2019: Collect Plus Limited [pdf]

    Final notices Published: 01/05/2019
    This final notice (Collect Plus 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.

  9. Final Notice 2019: Designer Concepts Ltd [pdf]

    Final notices Published: 13/02/2019
    This final notice (Designer Concepts 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.

  10. Final Notice 2019: Healthy Signature Ltd [pdf]

    Final notices Published: 12/02/2019
    This final notice (Healthy Signature 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.
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