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Final notice: Andrew Barry Hart [pdf]
This final notice refers to breaches of FIT related to a lack of fitness and propriety in the consumer credit sector. We imposed a prohibition. -
Final Notice 2017: Hugo Henry Adkins [pdf]
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. -
Final Notice 2021: Wills Cars Limited [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the credit broking sector. We refused the firm’s application for authorisation. -
Final Notice 2018: S P Car Ltd [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 2017: Merrill Lynch International [pdf]
This final notice refers to breaches of PRIN 3 and Article 9 of EMIR relating to transaction reporting in the investment banking sector. We imposed a fine. -
Final Notice 2023: Stanley Moore Motors Ltd [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. -
FCA Final Notice 2013: Castlehill Wealth Management Limited [pdf]
This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation. -
Final notice 2016: Timothy Alan Roberts [pdf]
This final notice refers to breaches of APER 1 and APER 6 related to the unfair treatment of customers in the investment adviser sector. We imposed a fine and prohibition. -
Final Notice 2018: John Gerard Barry [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 2023: Health Club Finance 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”.