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Showing 2221 to 2230 of 2435 search results for final notice refers to a failure.
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Final Notice 2019: Cathay International Holdings Limited [pdf]
This final notice (Cathay International Holdings Limited) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. We imposed a financial penalty. -
Final Notice 2017: Dr Saim Köksal trading as Arcis Management Consultancy [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal of the applicant’s Part 4A application. -
Operational Resilience
We set out the requirements of our policy and how to report an operational disruption. -
Final Notice 2017: Steven Maoudis trading as Montana Debt Management [pdf]
This final notice refers to breaches of COND related to concerns arising out of the applicant’s knowledge of available debt solutions, advice process used to advise clients, and business continuity plan. We imposed a refusal of the applicant’s -
Final notice 2020: Mr Owen (trading as Owen’s Bikes & Tools) [pdf]
This final notice (Mr Owen trading as Owen’s Bikes & Tools) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
First Supervisory Notice 2019: Coutts Automobiles Limited [pdf]
This first supervisory notice refers to a failure to satisfy the suitability threshold condition (COND) and breaches of PRIN. We varied the firm’s permission. -
Final Notice 2018: Strawberry Communications 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 2017: Greater Pollokshaws Credit Union Limited [pdf]
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the credit union sector. We imposed a cancellation. -
Investment Firms Prudential Regime (IFPR)
The IFPR is our new prudential regime for MiFID investment firms. The regime came into force on 1 January 2022. -
Final Notice 2017: Redcar and District Credit Union Limited [pdf]
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the credit union sector. We imposed a cancellation.