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Showing 2931 to 2940 of 4347 search results for FSA Final Notice.

  1. Final Notice 2021: Sportz Commercials Ltd [pdf]

    Final notices Published: 09/06/2021
    This final notice (Sportz Commercials 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.

  2. Final Notice 2023: Christopher Vincent Summers [pdf]

    Final notices Published: 03/10/2023
    This Final Notice (Christopher Vincent Summers) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  3. FCA Final Notice 2014: RSA Mortgage Services [pdf]

    Final notices Published: 14/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of COND related to financial crime, client money/assets, failing to be open and co-operative, and lack of fitness/propriety in the mortgages sector. We imposed a withdrawal.

  4. Final Notice 2017: Baildon Motor Company [pdf]

    Final notices Published: 25/01/2017
    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.

  5. Final Notice 2016: Scott Michael Crawley [pdf]

    Final notices Published: 01/11/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  6. Final Notice 2019: Stamford Tractors [pdf]

    Final notices Published: 29/10/2019
    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 2020: Lychworth Limited [pdf]

    Final notices Published: 25/02/2020
    This final notice (Lychworth 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

  8. FCA Final Notice 2014: Arnold Gary Eber [pdf]

    Final notices Published: 27/02/2014 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to failing to be open and co-operative, and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a public censure and a prohibition.

  9. Final Notice 2019: Guiseppe Oliverio [pdf]

    Final notices Published: 28/08/2019
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the private business adviser sector. We imposed a prohibition.

  10. FSA - Notice of Undertaking: AXA Insurance [pdf]

    Undertakings Published: 05/12/2005 Last modified: 30/05/2013
    Undertakings FSA - Notice of Undertaking: AXA Insurance - Cash back schemes
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