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Showing 981 to 990 of 2098 search results for This Final Notice refers to breaches.

  1. Final Notice 2022: Reece Klewchuck [pdf]

    Final notices Published: 18/01/2022
    This final notice refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation.

  2. Final Notice 2020: Lychworth Limited [pdf]

    Final notices Published: 25/02/2020
    This final notice (Lychworth Limited) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation

  3. Final Notice 2021: Simon John Varley [pdf]

    Final notices Published: 15/04/2021
    This Final Notice refers to Section 63A FSMA and breaches relating to APER 1 and FIT relating to a lack of honesty and integrity in the investment advisory sector. We imposed a fine and a prohibition.

  4. Final Notice 2023: Smilewise Limited [pdf]

    Final notices Published: 27/03/2023
    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.

  5. Final Notice 2022: Carlo Palombo [pdf]

    Final notices Published: 28/11/2022
    This Final Notice refers to Mr Palombo’s fitness and propriety to perform a regulated function, following his conviction for conspiracy to defraud. We have prohibited Mr Palombo from performing any function in relation to a regulated activity.

  6. Final Notice 2023: Autofinch Limited [pdf]

    Final notices Published: 27/07/2023
    This final notice (Autofinch Limited) 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.

  7. Final Notice 2022: John Gordon (trading as Magic Cycles) [pdf]

    Final notices Published: 27/10/2022
    This final notice (John Gordon - trading as Magic Cycles) 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.

  8. Final Notice 2019: E & N Ritchie [pdf]

    Final notices Published: 16/10/2019
    This final notice (E & N Ritchie) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  9. Final Notice 2018: Angela Burns [pdf]

    Final notices Published: 14/12/2018
    This final notice (Angela Burns) refers to breaches by a non-executive director of APER 1 for failing to declare conflicts of interest and FIT for lack of fitness/propriety. We imposed a fine and prohibition.

  10. Final Notice 2018: Marcel Rochester [pdf]

    Final notices Published: 01/05/2018
    This final notice (Marcel Rochester) refers to breaches of Principle 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.
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