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Showing 731 to 740 of 4701 search results for final notice refers.
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Final Notice 2016: Clarks of Garforth Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2018: AJD Accountancy 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 2016: Bar Professions Limited (in liquidation) [pdf]
This final notice refers to breaches of PRIN 2, PRIN 7 and ICOBS related to appointed representatives and failing to act on information appropriately in the general insurance and protection sector. We imposed a public censure. -
Final Notice 2024: MJL Focus Marketing 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 Claims Management sector. We imposed a cancellation. -
Final Notice 2015: Nineveh Advisory Limited [pdf]
This final notice refers to breaches of Principle 11 related to threshold conditions in the investment adviser sector. We imposed a cancellation. -
Final notice 2015: Oaklands Courier Limited [pdf]
The final notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
Final Notice 2024: Fox Global Trading Limited [pdf]
This Final Notice refers to a failure to carry on payment service activities. We imposed a cancellation. -
Final notice 2016: Danmirr Capital Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal of the firm's application to carry on the regulated activities of credit broking, deb adjusting and -
Final Notice 2017: Christopher Niehaus [pdf]
This final notice refers to breaches of APER 2 related to wholesale conduct in the investment banking sector. We imposed a fine. -
Final Notice 2018: FM 247 (UK) 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.