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Showing 1021 to 1030 of 2139 search results for final notice refers to breaches.
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Final Notice 2020: Perfectalign Limited [pdf]
This final notice (Perfectalign Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2023: Columbus Legal 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 General Insurance and investment adviser sector. We imposed a cancellation. -
Final Notice 2020: Motor Hut Ltd [pdf]
This final notice (Motor Hut Ldt) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2019: Paul Stephany [pdf]
This Final Notice (Paul Stephany) refers to breaches by an individual of Statement of Principle 2 and 3 relating to failing to observe proper standards of market conduct and failing to act with due skill, care and diligence in the asset management -
Final Notice 2021: Roman Claims Limited [pdf]
This final notice refers to a failure to satisfy the threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation. -
Final Notice 2022: William Mark Tristan Freer [pdf]
This Final Notice (William Mark Tristan Freer) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a prohibition -
Final Notice 2021: EMGLegal Limited [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation. -
Final Notice 2019: JGS Motors Ltd [pdf]
This final notice (JGS Motors Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2023: Ovi Motors Ltd [pdf]
This Final Notice (Ovi Motors 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: Ryan Fawson (Kingfisher Finance trading as) [pdf]
This final notice (Ryan Fawson (Kingfisher Finance trading as)) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation”.