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Showing 211 to 220 of 1281 search results for final notice refers to breaches of COND and PRIN.

  1. Final Notice 2018: Tonie Brown [pdf]

    Final notices Published: 12/11/2018
    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.

  2. Final Notice 2018: James Price [pdf]

    Final notices Published: 21/09/2018
    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.

  3. Final Notice 2018: Mark Forrest [pdf]

    Final notices Published: 09/03/2018
    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.

  4. Final Notice 2019: Rodney Brown [pdf]

    Final notices Published: 10/01/2020
    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.

  5. Final Notice 2019: CTS101 Ltd [pdf]

    Final notices Published: 01/08/2019
    This final notice (CTS101 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.

  6. Final Notice 2019: James Smith [pdf]

    Final notices Published: 31/01/2019
    This final notice (James Smith) 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.

  7. Final Notice 2018: Equigon LLP [pdf]

    Final notices Published: 11/01/2018
    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 designated investment business sector. We imposed a cancellation.

  8. Final Notice 2019: LVCS Limited [pdf]

    Final notices Published: 04/10/2019
    This final notice (LVCS 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.

  9. Final Notice 2018: James Lewis [pdf]

    Final notices Published: 24/08/2018
    This FCA final notice (James Lewis) 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.

  10. Final Notice 2019: Indiemini Ltd [pdf]

    Final notices Published: 14/03/2019
    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.
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