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Showing 181 to 190 of 1209 search results for final notice refers to breaches of COND related.
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Final Notice 2023: Kingsbridge Capital Advisors Limited [pdf]
This Final Notice (Kingsbridge Capital Advisors 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 investment adviser sector. We imposed a -
Final Notice 2022: Tyne Point Car Sales Limited [pdf]
This final notice (Tyne Point Car Sales Limited) 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 2022: Green Energy Together Limited [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 2022: L B Commercials Limited [pdf]
This Final Notice (L B Commercials 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: Stanic Motor Co Limited [pdf]
This final notice (Stanic Motor Co 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: Capital Car Network Limited [pdf]
This final notice (Capital Car Network) 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 2022: Naveed Hussain (trading as Star Motors) [pdf]
This Final Notice (Naveed Hussain (trading as Star Motors)) 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 -
Final Notice 2022: Maitiu Donnelly (trading as Alta Autos) [pdf]
This Final Notice (Maitiu Donnelly (trading as Alta Autos)) 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 -
2021 fines
This page contains information about enforcement fines published during the calendar year ending 2021. -
Final Notice 2020: Great Park Mtr Co Ltd [pdf]
This final notice (Great Park Mtr Co 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.