Showing 1 to 10 of 3365 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. Final Notice 2020: Redcentric PLC [pdf]

    Final notices Published: 26/06/2020
    This final notice (Redcentric PLC) refers to a breach of section 118(7) FSMA and the committal of market abuse by the publishing of false and misleading information about the financial position of an AIM-listed company. We imposed a public censure