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Showing 2781 to 2790 of 4347 search results for FSA Final Notice.

  1. Final Notice 2019: Ajay Seedarsan [pdf]

    Final notices Published: 15/11/2019
    This final notice (Ajay Seedarsan) 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.

  2. FCA Final Notice 2013: Arch Motors Limited [pdf]

    Final notices Published: 09/08/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  3. FCA Final Notice 2014: Pritchard Stockbrokers Limited (In Special Administration) [pdf]

    Final notices Published: 09/10/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 1, PRIN 2, PRIN 10 related to client money/assets in the asset management sector. We imposed a public censure.

  4. FCA Final Notice 2013: David John Nickless [pdf]

    Final notices Published: 31/05/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  5. FCA Final Notice 2014: Drain Claim Limited [pdf]

    Final notices Published: 07/01/2014 Last modified: 07/04/2015
    This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  6. Final Notice 2019: Daniel Lowther [pdf]

    Final notices Published: 22/08/2019
    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.

  7. Final Notice 2018: John McCullagh [pdf]

    Final notices Published: 03/10/2018
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the consumer credit sector. We imposed a prohibition.

  8. Final Notice 2024: Link Fund Solutions Limited [pdf]

    Final notices Published: 11/04/2024
    This Final Notice refers to a failure by Link Fund Solutions Limited to act with due skill, care and diligence in carrying out its role as Authorised Corporate Director of the Woodford Equity Income Fund. We imposed a requirement to pay restitution

  9. FCA Final Notice 2013: John Patrick Morris [pdf]

    Final notices Published: 15/08/2013 Last modified: 07/04/2015
    This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a OIVOP and cancellation.

  10. Final Notice 2015: Linda Carole Stuart [pdf]

    Final notices Published: 23/11/2015 Last modified: 23/11/2015
    This final notice refers to numerous breaches of CONC Chapter 8 and SYSC 9.1 related to inability to meet Threshold Condition 2D (appropriate non-financial resources) in the Consumer Credit: Debt Management sector. We imposed a refusal of Part 4A
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