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1311. Final Notice 2018: Neil Danziger [pdf]

      Final notices Published: 08/01/2018
      This final notice refers to breaches of PRIN 5 and FIT related to benchmarks, lack of fitness/propriety and wholesale conduct in the investment bank sector. We imposed a fine and prohibition.

1312. Final Notice 2016: Ross Tony Peters [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.

1313. Final Notice 2016: Aaron Lee Petrou [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.

1314. Final Notice 2020: John Norton [pdf]

      Final notices Published: 29/05/2020
      This final notice (John Norton) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

1315. FCA Final Notice 2013: Kuya J’s Filipino Store Limited [pdf]

      Final notices Published: 02/07/2013 Last modified: 07/04/2015
      This Final Notice refers to breaches of PSR related to failing to be open and co-operative in the

1316. Notice of Decision 2023: Ozen Financial Services Limited [pdf]

      Decision notices Published: 09/06/2023
      This Notice of Decision (Ozen Financial Services Limited) refers to a failure to carry on regulated activities. We imposed a cancellation.

1317. Final Notice 2017: Christopher Pickerill [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.

1318. Final Notice 2020: Aviva plc [pdf]

      Final notices Published: 26/10/2020
      This Final Notice (Aviva plc) refers to breaches of Listing Rule 1.3.3R and Transparency Rule 1A.3.2R related to Listing rules/DTR breaches in the General Insurance and Protection sector. We issued a public censure. File updated with accessibility

1319. Final Notice 2020: Jason Taylor [pdf]

      Final notices Published: 04/06/2020
      This final notice (Jason Taylor) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

1320. Final Notice 2015: M8’s Rates Loans Limited [pdf]

      Final notices Published: 14/08/2015 Last modified: 14/08/2015
      This final notice refers to breaches of COND and CONC, related to threshold conditions in the consumer credit sector. We imposed a refusal.