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Showing 1661 to 1670 of 2139 search results for final notice refers to breaches.
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Final Notice 2022: INZMO Europe GmbH [pdf]
This Final Notice (INZMO Europe GmbH) refers to a failure to satisfy the effective supervision and suitability threshold conditions (COND) and to be open and co-operative with the Authority (PRIN 11) in relation to a firm within the TPR. We imposed -
Final Notice 2023: SMH Financial Services 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 2019: Carb Cycles [pdf]
This final notice (Carb Cycles) 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: Tristan Freer (Director of BHIM) [pdf]
This decision notice (Tristan Freer (Director of BHIM)) 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. Our view is that -
Final Notice 2016: Money Matcher Limited [pdf]
This final notice refers to an application for Part 4A authorisation (“the Application”) by a firm holding Interim Permission in respect of the regulated activities subject to the Application. Due to concerns about the firm’s ability to -
Final Notice 2021: Day DV Limited [pdf]
This final notice (Day DV 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. -
Final Notice 2023: Health Club 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 consumer credit sector. We imposed a cancellation”. -
Final Notice 2023: Houghton Motor Group Ltd [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the Credit Broking sector. We refused the firm’s application for authorisation. -
Final Notice 2019: Robert Lea Newell [pdf]
This final notice (Robert Lea Newell) 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: Lee Brian Stanyer [pdf]
This FCA final notice (Lee Brian Stanyer) 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.