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Showing 1041 to 1050 of 6303 search results for This final notice.

  1. Final Notice 2019: Wesley Mckeever [pdf]

    Final notices Published: 06/12/2019
    This final notice (Wesley Mckeever) 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.

  2. FSA Final Notice 2013: Mr Sidney Cordle [pdf]

    Final notices Published: 27/03/2013 Last modified: 30/05/2013
    For the reasons set out in this Final Notice, the FSA is taking action against Mr Sidney Cordle.

  3. Final Notice 2017: Charles Palmer [pdf]

    Final notices Published: 19/09/2017
    This final notice refers to breaches of APER 6 and FIT related to appointed representatives/ networks, culture/governance, lack of fitness/propriety and unfair treatment of customers in the Investment Adviser sector. We imposed a fine and prohibition

  4. Final Notice 2018: Jonathan Mathew [pdf]

    Final notices Published: 02/11/2018
    This final notice refers to breaches of FIT related to benchmarks, a lack of fitness/propriety and wholesale conduct in the retail bank sector. We imposed a prohibition.

  5. Final notice 2016: Cult Racing Limited [pdf]

    Final notices Published: 30/06/2016 Last modified: 30/06/2016
    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.

  6. Final Notice 2016: Peter Roy Alexander [pdf]

    Final notices Published: 25/07/2016 Last modified: 25/07/2016
    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.

  7. FCA Final Notice 2014: Craig Stuart Cameron [pdf]

    Final notices Published: 29/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER1 and FIT related to lack of fitnes/propriety and unfair treatment of customers in the investment adviser and platform sector. We imposed a fine and a prohibition.

  8. Final Notice 2018: William Dighton [pdf]

    Final notices Published: 21/09/2018
    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

  9. Final Notice 2019: Craig Mitchison [pdf]

    Final notices Published: 01/07/2019
    This final notice (Craig Mitchison) 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.

  10. Final Notice 2017: David Samuel Watters [pdf]

    Final notices Published: 14/07/2017
    This final notice refers to breaches of APER 6 related to a lack of competence in the pensions sector.
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