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Showing 2551 to 2560 of 4347 search results for FSA Final Notice.

  1. Final Notice 2022: Jeanine Lewis [pdf]

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

  2. Final Notice 2019: Shaun Rowe [pdf]

    Final notices Published: 09/01/2020
    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.

  3. Final Notice 2016: Bathesafely Limited [pdf]

    Final notices Published: 06/09/2016
    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.

  4. Final Notice 2023: Andrew John Allen [pdf]

    Final notices Published: 13/09/2023
    This Final Notice refers to breaches of APER 6 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition and public censure. A payment of £85,606 is being made to the FSCS

  5. Final Notice 2019: CTS101 Ltd [pdf]

    Final notices Published: 01/08/2019
    This final notice (CTS101 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.

  6. FCA Final Notice 2014: Mark Ian Warner trading as Advanced Financial Management [pdf]

    Final notices Published: 29/05/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisor sector. We imposed an OIVOP and a cancellation.

  7. FCA Final Notice 2013: Churchill Securities (UK) Limited [pdf]

    Final notices Published: 25/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of TC related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

  8. Final Notice 2019: Dean Woods [pdf]

    Final notices Published: 22/02/2019
    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.

  9. FSA Supervisory Notice 2011: National Westminster Bank plc [pdf]

    Supervisory notices Published: 09/11/2011 Last modified: 14/06/2014
    FSA Supervisory Notice 2011: National Westminster Bank plc

  10. Final Notice 2018: Barot Bros (Bhupatsinh Barot trading as) [pdf]

    Final notices Published: 21/09/2018
    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.
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