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Showing 2481 to 2490 of 4349 search results for FSA Final Notice.

  1. Final Notice 2023: Susan Mary Jones [pdf]

    Final notices Published: 27/11/2023
    This Final Notice refers to breaches of Principles for Business 2 related to the provision of unsuitable pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £40,888 is being made to the FSCS.

  2. Final Notice 2020: Nicholas Anderton [pdf]

    Final notices Published: 21/05/2020
    This final notice (Nicholas Anderton) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  3. Final Notice 2018: GMT Cars [pdf]

    Final notices Published: 12/02/2018
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  4. Final Notice 2017: Ashton Patterson [pdf]

    Final notices Published: 29/03/2017
    This final notice 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. FCA Final Notice 2014: David Gillespie [pdf]

    Final notices Published: 09/10/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 1 and APER 6 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition.

  6. Final Notice 2023: Columbus Legal Limited [pdf]

    Final notices Published: 23/05/2023
    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 General Insurance and investment adviser sector. We imposed a cancellation.

  7. Final Notice 2022: Stuart Rea [pdf]

    Final notices Published: 28/04/2022
    This Final Notice (Stuart Rea) refers to breaches of FIT. We imposed a prohibition.

  8. Final Notice 2016: Warmcool Limited [pdf]

    Final notices Published: 13/12/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  9. Final Notice 2023: DMA Developments Ltd [pdf]

    Final notices Published: 07/12/2023
    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.

  10. FCA Final Notice 2014: Debt Plan UK Ltd [pdf]

    Final notices Published: 26/07/2014 Last modified: 07/04/2015
    This final notice refers to breaches of TC and CONC related to threshold conditions in the consumer credit sector. We imposed a refusal.
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