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Showing 1501 to 1510 of 2139 search results for Final Notice refers to breaches.

  1. Decision Notice 2021: Geoffrey Edward Armin [pdf]

    Decision notices Published: 09/08/2021
    This decision notice (Geoffrey Edward Armin) refers to breaches of APER 2, APER 7, FIT and COBS related to failing to demonstrate that suitable advice was given in the investment adviser and pensions sector. Our view is that a financial penalty and

  2. Decision Notice 2018: John Lawrence Radford [pdf]

    Decision notices Published: 26/01/2018
    This decision notice refers to breaches of APER 6 and APER 7 related to client money/assets in the general insurance and protection sector. Our view is that a fine and prohibition should be imposed.

  3. Final Notice 2019: Rarezero Ltd [pdf]

    Final notices Published: 15/11/2019
    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.

  4. Decision Notice: Financial Page Ltd (in liquidation) [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Financial Page Ltd (in liquidation)) refers to breaches of PRIN 1 and section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that a public

  5. FCA Final Notice to Finablr plc

    Statements Published: 25/02/2022 Last modified: 25/02/2022
    We have issued a Final Notice to the firm in accordance with section 390(1) of the Financial Services and Markets Act.

  6. Final Notice 2023: Giovanni Automobili ltd [pdf]

    Final notices Published: 28/06/2023
    Final notice issued against Giovanni Automobili ltd.

  7. Notice of Decision 2024: Commercial Fleet Systems UK Limited [pdf]

    Decision notices Published: 23/04/2024
    The Notice of Decision refers to failure to carry on regulated activities. We imposed a cancellation. 

  8. Final Notice 2021: MBO Power Ltd [pdf]

    Final notices Published: 18/02/2021
    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.

  9. Final notice 2016: Lynda Jayne Croome [pdf]

    Final notices Published: 08/01/2016 Last modified: 08/01/2016
    This final notice refers to the Authority’s objection to an acquisition under section 186 (a) FSMA based on an assessment made in accordance with section 185 FSMA that the acquirer lacked suitability.

  10. Final Notice 2018: Col Smith Car Sales [pdf]

    Final notices Published: 26/06/2018
    This final
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