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Showing 1 to 10 of 3463 search results

  1. Final notice 2020: Waterside Classics Limited [pdf]

    Final notices Published: 09/07/2020
    This final notice (Waterside Classics 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 advisory sector. We imposed a cancellation.

  2. Final Notice 2020: R Szeto trading as Richard Szeto [pdf]

    Final notices Published: 09/07/2020
    This final notice (R Szeto & Co trading as Richard Szeto) 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 advisory sector. We imposed a cancellation.

  3. Final Notice 2020: Northwood Financial Management (trading as Stephen Jones) [pdf]

    Final notices Published: 09/07/2020
    This final notice (Northwood Financial Management (trading as Stephen Jones)) 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 advisory sector. We imposed a cancellation.

  4. Final Notice 2020: Jonathan Birch trading as JB's music store [pdf]

    Final notices Published: 09/07/2020
    This final notice (Jonathan Birch trading as JB's music store) 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: Christopher Edwards trading as Liberty Motorcycles [pdf]

    Final notices Published: 09/07/2020
    This final notice (Christopher Edwards trading as Liberty Motorcycles) 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 2020: Stuart Carnegie (trading as SC Motors and SC Veleting) [pdf]

    Final notices Published: 09/07/2020
    This final notice ( Stuart Carnegie (trading as SC Motors and SC Veleting)) 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 2020: Easydrive Cars Ltd [pdf]

    Final notices Published: 01/07/2020
    This final notice (Easydrive Cars Ltd) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  8. Second Supervisory Notice 2020: Perry Prowse (Insurance Consultants) Ltd [pdf]

    Supervisory notices Published: 29/06/2020
    Second Supervisory Notice for Perry Prowse (Insurance Consultants) Ltd.

  9. First Supervisory Notice 2020: Perry Prowse (Insurance Consultants) Ltd [pdf]

    Supervisory notices Published: 29/06/2020
    First Supervisory Notice for Perry Prowse (Insurance Consultants) Ltd.

  10. Consolidated list of waivers, modifications and CRR permissions granted [xlsx]

    Waivers and CRR notices Published: 26/06/2020
    The majority of waivers, modifications and CRR Permissions granted are published in full. Certain waivers, modifications and CRR Permission are published in abridged form, generally to protect the commercial interests of the firm concerned. A small number of waivers, modifications and CRR remain unpublished.