Publications

Showing 1061 to 1070 of 3614 search results.

1061. Final Notice 2018: Premier Management Partners Limited [pdf]

      Final notices

      Published: 21/05/2018

      This final notice (Premier Management Partners 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

1062. Final Notice 2018: Emily Cook [pdf]

      Final notices

      Published: 18/05/2018

      This final notice (Emily Cook) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

1063. Final Notice 2018: Tide You Over Limited [pdf]

      Final notices

      Published: 18/05/2018

      This final notice (Tide You Over Limited) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

1064. Final Notice 2018: MMC Car Repairs Ltd [pdf]

      Final notices

      Published: 16/05/2018

      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.

1065. Final Notice 2018: Murray Wilkinson [pdf]

      Final notices

      Published: 14/05/2018

      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.

1066. Final Notice 2018: Mr James Edward Staley [pdf]

      Final notices

      Published: 11/05/2018

      This final notice (Mr James Edward Staley) refers to breaches of Individual Conduct Rule 2 (COCON 2.1.2) related to conflicts of interest (whistleblowing, CEO accountability) in the retail bank sector. We imposed a fine.

1067. Final Notice 2018: Keith Buckfield [pdf]

      Final notices

      Published: 08/05/2018

      This final notice (Keith Buckfield) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

1068. Final Notice 2018: David Lloyd [pdf]

      Final notices

      Published: 08/05/2018

      This final notice (David Lloyd) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

1069. Final Notice 2018: Troopers Sales Limited [pdf]

      Final notices

      Published: 08/05/2018

      This final notice (Troopers Sales Limited) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

1070. Final Notice 2018: Wilton Trading Limited [pdf]

      Final notices

      Published: 08/05/2018

      This final notice (Wilton Trading Limited) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.