About 3257 results.
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Final notices
Published: 22/01/2019
This final notice (R W Car Finance 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.
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Final notices
Published: 16/01/2019
This final notice (James Edward Sheriff trading as Diamond Car Sales) 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.
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Final notices
Published: 16/01/2019
This final notice (Alexander Clearie Dick trading as Village Cars Saline) 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.
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Final notices
Published: 16/01/2019
This final notice (Mark John Owen) refers to breaches by an executive director of APER 1, APER 4 and FIT related to a lack of fitness/propriety and failing to act on information appropriately in the asset management sector. We imposed a fine and prohibition.
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Supervisory notices
Published: 16/01/2019
This first supervisory notice (Organic Investment Management Limited) refers to a failure to satisfy the appropriate resources threshold condition (COND) and breaches of SYSC. We imposed requirements on the firm.
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Final notices
Published: 16/01/2019
This final notice (Stewart Owen Ford) refers to breaches by an executive director of APER 1, APER 4 and FIT related to mis-selling, failing to be open and co-operative, a lack of fitness/propriety, conflicts of interest, and failing to act on information appropriately in the asset management sector. We imposed a fine and prohibition.
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Final notices
Published: 11/01/2019
This final notice (Motor Mart 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.
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Final notices
Published: 11/01/2019
This final notice (GMN Car Sales 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.
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Final notices
Published: 11/01/2019
This final notice (VantaBlack Group Limited) refers to failure to satisfy threshold conditions (COND), be open and co-operative with the Authority (PRIN 11), provide appropriate resources, be fit and proper, be ready willing and organised, and provide effective supervision. The application was refused.
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Waivers and CRR notices
Published: 10/01/2019
Last modified: 11/01/2019
Waivers New Conduct of Business (COBS) - Sourcebook or manual to which waivers of rules apply