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Showing 1131 to 1140 of 1701 search results for This final notice refers to breaches of PRIN.
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Final Notice 2017: Christine Whitehurst [pdf]
This final notice refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. Final Notice: Christine Whitehurst Conduct: Client money/assets; Lack of -
Final Notice 2018: Land Horizon Projects Limited [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 consumer credit sector. We imposed a cancellation. -
Final Notice 2019: Campbell Fairfull Car Sales [pdf]
This final notice (Campbell Fairfull 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. -
Decision Notice: Bank House Investment Management Limited [pdf]
This decision notice (Bank House Investment Management Limited) refers to breaches of PRIN 1 and section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that a -
Final Notice 2019: R W Car Finance Ltd [pdf]
This final notice (R W Car Finance 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 2018: Yorkshire Gas & Electrical 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 consumer credit sector. We imposed a cancellation. -
Final Notice 2018: AGI Corporate Finance Limited [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. We imposed a cancellation. -
Final Notice 2022: Matthews Sports and Prestige Ltd [pdf]
This Final Notice (Matthews Sports and Prestige 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 2020: The Trinity Column Partners LLP [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. We imposed a cancellation. -
Final Notice 2020: I.P.S Aloha (Scotland) Limited [pdf]
This final notice (I.P.S Aloha (Scotland) 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.