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Showing 521 to 530 of 1294 search results for final notice refers to breaches of MAR.

  1. Final Notice 2016: Richard Barca [pdf]

    Final notices Published: 14/11/2016
    This final notice refers to breaches of PRIN11 and COND relating to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

  2. Final Notice 2015: Nineveh Advisory Limited [pdf]

    Final notices Published: 13/01/2015 Last modified: 13/01/2015
    This final notice refers to breaches of Principle 11 related to threshold conditions in the investment adviser sector. We imposed a cancellation.

  3. Final Notice: Excel Leasing Limited [pdf]

    Final notices Published: 21/10/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  4. Final Notice 2020: Sukhvir Tiwana [pdf]

    Final notices Published: 12/02/2020
    This final notice (Sukhvir Tiwana) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  5. Final Notice 2020: Adrian Doherty [pdf]

    Final notices Published: 25/02/2020
    This final notice (Adrian Doherty) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  6. Final Notice 2017: Keith Pringle [pdf]

    Final notices Published: 10/05/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  7. Final Notice 2021: A3 Medical Limited [pdf]

    Final notices Published: 21/04/2021
    This final notice (A3 Medical 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.

  8. Final Notice 2019: William Nelson [pdf]

    Final notices Published: 22/11/2019
    This final notice (William Nelson) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  9. Final Notice 2018: MTS Automotive (Manchester to Southampton LTD) [pdf]

    Final notices Published: 12/02/2018
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  10. Final Notice 2015: Robert Stephan Addison [pdf]

    Final notices Published: 31/03/2015 Last modified: 31/03/2015
    This final notice refers to breaches of APER 1 and APER 7 related to conflicts of interests and lack of fitness/propriety in the investment advisor sector. We imposed a fine, withdrawal and prohibition.
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