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Showing 2911 to 2920 of 4347 search results for FSA Final Notice.
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FCA Final Notice 2013: Swinton Group Limited [pdf]
This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to unfair treatment of customers in the general insurance and protection sector. We imposed a fine. -
Final Notice 2019: Malcolm Buchanan [pdf]
This final notice (Malcolm Buchanan) 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 2017: Best Broker Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector. We imposed a cancellation. -
Final Notice 2020: Ballooner Limited [pdf]
This final notice (Ballooner Limited) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
FCA Final Notice 2014: Daniel James Plunkett [pdf]
This final notice refers to breaches of FIT, APER 1 and APER 3 related to lack of fitness and propriety, conflicts of interest in the investment banks sector. We imposed a prohibition and a fine. -
FSA - Notice of Undertaking: Scottish Widows [pdf]
Undertakings FSA - Notice of Undertaking: Scottish Widows - Lifetime mortgages -
Final Notice 2018: Alexander David Osborne Stuart [pdf]
This final notice refers to breaches of APER 1 and FIT relating to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition. -
Final Notice 2018: Marcel Rochester [pdf]
This final notice (Marcel Rochester) refers to breaches of Principle 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2018: Utilicon Limited [pdf]
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. -
Final Notice 2020: HMS Cars Ltd [pdf]
This final notice (HMS Cars Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.