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Showing 801 to 810 of 845 search results for final notice refers to breaches of PRIN 3 and PRIN 5 related.
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Final Notice 2021: Enrico Riga (Trading as Shire Hampton Motors) [pdf]
This final notice Enrico Riga (Trading as Shire Hampton 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 2024: Victoria Snoddy [pdf]
This Final Notice (Victoria Snoddy) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in relation to a new firm authorisation application. We have refused the Application. -
Final Notice 2021: Donna Worsfold [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 2017: The Encore Trading Company Limited [pdf]
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. -
Final Notice 2022: Lyonnaise De Banque [pdf]
This final notice (Lyonnaise De Banque) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in relation to a firm within the TPR. We imposed a cancellation. -
Final Notice 2017: Merrill Lynch International [pdf]
This final notice refers to breaches of PRIN 3 and Article 9 of EMIR relating to transaction reporting in the investment banking sector. We imposed a fine. -
Final Notice 2021: EMGLegal Limited [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation. -
Final Notice 2022: Bolton Premier Motors (trading as Ascot Motor Cars) [pdf]
This Final Notice (Bolton Premier Motors (trading as Ascot Motor Cars)) 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 -
Final Notice 2021: Roman Claims Limited [pdf]
This final notice refers to a failure to satisfy the threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation. -
Final Notice 2023: MBG Scotland 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.