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Showing 311 to 320 of 1281 search results for final notice refers to breaches of COND and PRIN.

311. 2024 fines

     News stories Published: 25/03/2024 Last modified: 25/06/2024
     Enforcement fines published in 2024.

312. Final Notice 2019: John Paul Hunt [pdf]

     Final notices Published: 15/11/2019
     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.

313. Final Notice 2018: Forseti Capital LLP [pdf]

     Final notices Published: 21/05/2018
     This final notice (Forseti Capital LLP) 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. We imposed a cancellation.

314. Final Notice 2020: GM Supplies (Cumbria) Limited [pdf]

     Final notices Published: 22/12/2020
     This final notice refers to a failure to satisfy the suitability threshold condition (COND), the appropriate resources threshold condition (COND) and the failure to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector.

315. Final Notice 2023: Health Club Finance Limited [pdf]

     Final notices Published: 08/12/2023
     “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”.

316. Final Notice 2018: Electric Sun Limited [pdf]

     Final notices Published: 02/10/2018
     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.

317. Final Notice 2019: Robert Lea Newell [pdf]

     Final notices Published: 01/08/2019
     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.

318. Final Notice 2017: Prestige Autohaus Ltd [pdf]

     Final notices Published: 18/12/2017
     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.

319. Final Notice 2022: INZMO Europe GmbH [pdf]

     Final notices Published: 18/01/2022
     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

320. Final Notice 2019: ATA Trading Limited [pdf]

     Final notices Published: 15/11/2019
     This final notice (ATA Trading 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.