Publications

Showing 9401 to 9410 of 18820 search results.

9401. Final Notice 2019: Penguin Leasing Ltd [pdf]

      Final notices

      Published: 19/09/2019

      This final notice (Penguin Leasing 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.

9402. Final Notice 2019: Car Centre Chesterfield Limited [pdf]

      Final notices

      Published: 19/09/2019

      This final notice (Car Centre Chesterfield 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.

9403. Final Notice 2019: Nigel Oxman Cars Limited [pdf]

      Final notices

      Published: 19/09/2019

      This final notice (Nigel Oxman Cars 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.

9404. Final Notice 2019: Warbreck Car Sales Limited [pdf]

      Final notices

      Published: 19/09/2019

      This final notice (Warbreck 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.

9405. Final Notice 2019: North London Van Centre Limited [pdf]

      Final notices

      Published: 19/09/2019

      This final notice (North London Van Centre 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.

9406. Implementing MiFID II – multi-firm review of research unbundling reforms

      Multi-firm reviews

      Published: 19/09/2019

      Last modified: 29/08/2025

      Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately.

9407. The FCA’s response to the Complaints Commissioner’s Report FCA00621 [pdf]

      Corporate documents

      Published: 17/09/2019

9408. Final Notice 2019: Gary Jackson [pdf]

      Final notices

      Published: 16/09/2019

      This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

9409. mifid-individual-notification-for-change-in-controller.doc [doc]

      Forms

      Published: 16/09/2019

      Last modified: 20/01/2025

      mifid-individual-notification-for-change-in-controller.doc

9410. Final Notice 2019: Doorable Ltd [pdf]

      Final notices

      Published: 12/09/2019

      This final notice (Doorable 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.