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Showing 2801 to 2810 of 4347 search results for FSA Final Notice.

  1. Unfair contract terms library

    Tasks for firms Published: 03/08/2015 Last modified: 09/05/2024
    The FCA's work on unfair contract terms including past undertakings, agreements and other publications.

  2. Final Notice 2015: Stephen Edward Bell [pdf]

    Final notices Published: 13/03/2015 Last modified: 31/03/2015
    This final notice refers to breaches of PRIN 3 (knowing concern) and FIT related to the lack of fitness/propriety, culture/governance and appointed representatives in the general insurance and protection, investment adviser and platform sector. We

  3. Final Notice 2015: Paivi Grigg [pdf]

    Final notices Published: 11/12/2015 Last modified: 17/12/2015
    This final notice refers to breaches of APER 6 related to appointed representatives, culture/governance and unfair treatment of customers in the investment adviser sector . We imposed a fine.

  4. Final Notice 2018: UK4REX Limited [pdf]

    Final notices Published: 14/12/2018
    This final notice (UK4REX Limited) refers to breaches of payment services regulations (PSR) related to failing to be open and co-operative in the payment services sector. For the interest and protection of Consumers, we imposed a cancellation.

  5. Final Notice 2019: Trevor Alan Oakley [pdf]

    Final notices Published: 12/10/2012 Last modified: 26/01/2021
    This final notice (Trevor Alan Oakley) refers to a failure to satisfy FIT criteria and demonstrate fitness and propriety, therefore the application (for authorisation) was refused.

  6. Final Notice 2023: MC Motor Sales Ltd [pdf]

    Final notices Published: 30/08/2023
    This final notice refers to a failure to satisfy threshold conditions (COND). We refused the firm’s application for authorisation.

  7. FCA Final Notice 2014: Andrew Charles Rees [pdf]

    Final notices Published: 17/04/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 7 related to unfair treatment of customers, conflicts of interest, and lack of fitness/propriety in the investment advisors and platforms sector. We imposed a prohibition, withdrawal, and public censure.

  8. Final Notice 2015: Kweku Mawuli Adoboli [pdf]

    Final notices Published: 16/10/2015 Last modified: 16/10/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment bank sector. We imposed a prohibition.

  9. Final notice 2016: AKV Vehicles Limited [pdf]

    Final notices Published: 25/02/2016 Last modified: 25/02/2016
    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.

  10. Final Notice 2017: Voxsan Limited [pdf]

    Final notices Published: 19/10/2017
    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.
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