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Showing 1461 to 1470 of 2098 search results for This Final Notice refers to breaches.
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Decision Notice: Thomas Ward (de facto director of FPL) [pdf]
This decision notice (Thomas Ward (de facto director of FPL)) refers to breaches of section 63A FSMA and FIT related to a lack of fitness/propriety in the investment adviser and pensions sector. Our view is that a prohibition and financial penalty -
Decision Notice 2018: Darren Lee Newton [pdf]
This decision notice (Darren Lee Newton) refers to breaches of FIT related to client money/assets and a lack of fitness/propriety in the consumer credit sector. Our view is that a prohibition should be imposed. -
Decision Notice 2018: John Lawrence Radford [pdf]
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. -
Final Notice 2018: Alex Payne [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 2021: Lee Donnelly (trading as Kingsmill Cars) [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 2019: Carz2go 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 2016: Sunrise Brokers LLP [pdf]
This final notice refers to a candidate for approval to perform controlled functions. The applicant firm and candidate did not provide sufficient information to satisfy us that the candidate met the honesty, integrity and reputation criteria of the -
Decision Notice: Financial Page Ltd (in liquidation) [pdf]
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 -
FCA decision notice 2015: Charles Palmer [pdf]
This decision notice refers to breaches of APER 6 and FIT related to appointed representatives, culture/governance, lack of fitness/propriety and unfair treatment of customers in the investment adviser sector. Our view is that a financial penalty -
Final Notice 2018: Col Smith Car Sales [pdf]
This final