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  1. Principles for Businesses (PRIN) [pdf]

    Waivers and CRR notices Published: 03/09/2019 Last modified: 03/09/2019
    Waivers Principles for Businesses (PRIN) - Sourcebook or manual to which waivers of rules apply
  2. Senior Management Arrangements, Systems and Controls (SYSC) [pdf]

    Waivers and CRR notices Published: 03/09/2019 Last modified: 03/09/2019
    Waivers Senior Management Arrangements, Systems and Controls (SYSC) - Sourcebook or manual to which waivers of rules apply
  3. Recognised Investment Exchanges and Recognised Clearing Houses (REC) [pdf]

    Waivers and CRR notices Published: 03/09/2019 Last modified: 03/09/2019
    Waivers Recognised Investment Exchanges and Recognised Clearing Houses (REC) - Sourcebook or manual to which waivers of rules apply
  4. Final Notice 2019: Guiseppe Oliverio [pdf]

    Final notices Published: 28/08/2019
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the private business adviser sector. We imposed a prohibition.
  5. Final Notice 2019: Savatori Oliverio [pdf]

    Final notices Published: 28/08/2019
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the private business adviser sector. We imposed a prohibition.
  6. Final Notice 2019: Giovanni Joseph Oliverio [pdf]

    Final notices Published: 28/08/2019
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the private business adviser sector. We imposed a prohibition.
  7. Final Notice 2019: Tunstall Trade Car Sales Limited [pdf]

    Final notices Published: 28/08/2019
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the private business adviser sector. We imposed a prohibition.
  8. Final Notice 2019: Music Matters Limited [pdf]

    Final notices Published: 27/08/2019
    This final notice (Music Matters Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.
  9. Final Notice 2019: KWH (Heating & Renewables) Ltd [pdf]

    Final notices Published: 23/08/2019 Last modified: 22/08/2019
    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.
  10. Final Notice 2019: Daniel Lowther [pdf]

    Final notices Published: 22/08/2019
    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.