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Showing 1821 to 1830 of 2139 search results for final notice refers to breaches.
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First Supervisory Notice 2022: Pello Capital Limited [pdf]
This First Supervisory Notice refers to breaches of Prin 3, 4 and 11 related to failing demonstrate that Pello Capital Limited has adequate and appropriate systems and controls to effectively manage risks. Failing to maintain adequate financial -
Final Notice 2017: Hackney Credit Union Limited [pdf]
This final notice refers to a cancellation of permission pursuant to exercising powers under section 55J of FSMA in the credit union sector. -
Final Notice 2021: Whessoe Road Motor Company [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 2020: Risk Free Claims Management Ltd [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation. -
Final Notice 2018: Anglia Motor Village Ltd [pdf]
This final notice (Anglia Motor Village 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: Northwood Financial Management (trading as Stephen Jones) [pdf]
This final notice (Northwood Financial Management (trading as Stephen Jones)) 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. -
Final Notice 2018: Swan Motor Centre 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 2018: UK Leisure Parks 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: P.F. (International) Limited [pdf]
This final notice (P.F (International) 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 2021: Garrick Financial Services Ltd [pdf]
This Final Notice refers to a failure to satisfy threshold conditions (COND) in the claims management sector. We refused the firm’s application for authorisation.