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Showing 31 to 40 of 1712 search results for final notice refers to breaches of COND.
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Final Notice 2017: Reliable Runners Limited [pdf]
This final notice refers to breaches of COND and Principle 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final notice 2016: Cross Keys Estate & Finance Limited [pdf]
This final notice refers to breaches of COND and TC related to Threshold Conditions and lack of fitness and propriety in the Consumer Credit sector. We imposed a refusal. -
Final Notice 2017: Church Hill Finance (Anthony Badaloo trading as) [pdf]
This Final Notice refers to breaches of COND related to threshold conditions in the investment adviser sector. We imposed a cancellation. -
Final Notice 2017: Juceff & Co Trading Limited [pdf]
This final notice refers to breaches of COND and PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2017: Foreman Financial Services Limited [pdf]
This final notice refers to breaches of COND, DISP, PRIN 6 and PRIN 11 related to threshold conditions, unfair treatment of customers and failing to be open and co-operative in the consumer credit and investment adviser sectors. We imposed a -
Final Notice 2015: 15/1 Consumer credit application refusal [pdf]
This summary of a final notice refers to breaches of COND and TC related to lack of fitness/propriety and failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final Notice 2017: Steven Maoudis trading as Montana Debt Management [pdf]
This final notice refers to breaches of COND related to concerns arising out of the applicant’s knowledge of available debt solutions, advice process used to advise clients, and business continuity plan. We imposed a refusal of the applicant’s -
FCA Decision Notice 2016: KWS Wealth Management Limited [pdf]
This Final Notice refers to breaches of COND related to threshold conditions in the investment adviser sector. We imposed a cancellation. -
Final notice 2016: Vehicle Supermarket of Leicester Limited [pdf]
This final notice refers to breaches of PRIN 11 and COND, failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
FCA Final Notice 2015: Tiuta Plc [pdf]
This Final Notice refers to breaches of PRIN 4, COND, MIPRU and IPRU-INV related to threshold conditions in the investment adviser sector. We imposed a cancellation.