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Showing 2621 to 2630 of 4347 search results for FSA Final Notice.
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Final Notice 2020: Carl Brookes [pdf]
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. -
Final Notice 2015: Lee Bruce Stewart [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the trading firms sector. We imposed a prohibition. -
Final Notice 2023: Simon Richard Hughes [pdf]
This Final Notice (Simon Richard Hughes) refers to breaches of APER 2, 6 and 7 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition and withdrawal. A payment of -
Final Notice 2023: Peak Bikes Limited [pdf]
This final notice (Peak Bikes 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. -
Final notice 2016: Treviso Coffee Co Limited [pdf]
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final notice 2016: Jonathan R Milnes [pdf]
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. -
Final Notice 2017: Stephen Alan Fox [pdf]
This final notice refers to a breach of FIT relating to a lack of fitness/propriety in the general insurance and protection sector. We imposed a prohibition. -
Final Notice 2018: James Lewis [pdf]
This FCA final notice (James Lewis) 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. -
Final Notice 2021: Simon John Varley [pdf]
This Final Notice refers to Section 63A FSMA and breaches relating to APER 1 and FIT relating to a lack of honesty and integrity in the investment advisory sector. We imposed a fine and a prohibition. -
Final Notice 2020: Inovtrix Ltd [pdf]
This final notice Inovtrix Ltd refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.