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Showing 3821 to 3830 of 4349 search results for FSA Final Notice.

  1. Final Notice 2018: Global Insurance Services Limited [pdf]

    Final notices Published: 09/08/2018
    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 Investment advisory sector, General Insurance and Protection sector and Consumer Credit.

  2. Final Notice 2019: Henderson Investment Funds Limited [pdf]

    Final notices Published: 20/11/2019
    This final notice refers to breaches of PRIN 3 and PRIN 6 related to the unfair treatment of customers in the Asset Management sector. We imposed a financial penalty.

  3. Financial Penalty Scheme

    Corporate documents Published: 02/04/2024 Last modified: 03/04/2024
    Find out how the FCA's Financial Penalty Scheme works and how we use retained penalties for the benefit of firms.

  4. Final Notice 2019: Fletchers Building & Maintenance Ltd [pdf]

    Final notices Published: 07/11/2019
    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.

  5. Final Notice 2018: Auto Village Car Finance Ltd [pdf]

    Final notices Published: 09/03/2018
    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.

  6. Final Notice 2017: Samsara Nepal Financial Services Limited [pdf]

    Final notices Published: 14/08/2017 Last modified: 14/08/2017
    This final notice refers to a failure to demonstrate a willingness to comply with regulatory obligations, and to deal with the Authority in an open and co-operative way in the payment services sector. To protect the interests of consumers, we

  7. Final Notice: Rollin Stock (Hair & Beauty) Ltd [pdf]

    Final notices Published: 25/09/2017
    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.

  8. Final Notice 2018: Christopher Dwane Michael Fletcher [pdf]

    Final notices Published: 21/09/2018
    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.

  9. Final Notice 2017: Goldenway Global Investments (UK) Limited and Gregory Rupert Nathan [pdf]

    Final notices Published: 23/08/2017
    This final notice relates to an application for the individual to perform controlled functions at the firm. For the reasons contained in the notice we refused the application in part, namely for Controlled Functions CF10 and CF11.

  10. Final Notice 2019: John Chapman Insurance Consultants [pdf]

    Final notices Published: 07/01/2019
    This final notice (John Chapman Insurance Consultants) 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 General Insurance and Protection sector. We imposed
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