Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 251 to 260 of 2098 search results for This Final Notice refers to breaches.

  1. Final notice 2016: Mr Kevin Clarke [pdf]

    Final notices Published: 21/06/2016 Last modified: 21/06/2016
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative and a lack of fitness/propriety in the consumer credit sector. We imposed a refusal.

  2. Final Notice 2017: Reuben Cunningham [pdf]

    Final notices Published: 31/03/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  3. Final Notice 2018: Alex Hope [pdf]

    Final notices Published: 07/03/2018
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment sector. We imposed a prohibition.

  4. FCA Final Notice 2014: Douglas Carroll trading as City and Chartered Mortgage Services [pdf]

    Final notices Published: 28/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of TC and SUP 16 related to transaction reporting in the general insurance and protection sector. We imposed a withdrawal.

  5. Final Notice 2017: Raj Von Badlo [pdf]

    Final notices Published: 20/02/2017
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  6. Final notice 2015: Simon Mark Silva-Peake [pdf]

    Final notices Published: 16/12/2015 Last modified: 16/12/2015
    This final notice refers to breaches of FIT related to a lack of fitness/propriety, client money/assets and unfair treatment of customers in the investment adviser sector. We imposed a prohibition.

  7. Final notice 2016: M I Wealth Management Limited [pdf]

    Final notices Published: 15/04/2016 Last modified: 15/04/2016
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and cooperative and threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  8. Final Notice 2017: Niall O’Kelly [pdf]

    Final notices Published: 07/04/2017
    This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition.

  9. Final Notice 2024: Clive Harris Mongelard [pdf]

    Final notices Published: 12/07/2024
    “This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.” 

  10. Final Notice 2019: David John Mills [pdf]

    Final notices Published: 21/06/2019
    This final notice refers to breaches of FIT related to a lack of fitness/propriety. We imposed a prohibition.
Related searches