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Showing 1131 to 1140 of 6304 search results for This final notice.

  1. Final notice 2016: RM Trade Sales Limited [pdf]

    Final notices Published: 12/05/2016 Last modified: 12/05/2016
    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.

  2. Final Notice 2015: Asia Resource Minerals plc (formerly Bumi plc) [pdf]

    Final notices Published: 17/06/2015 Last modified: 17/06/2015
    This final notice refers to breaches of LR and DTR related to listing rules breaches in the issuer sector. We imposed a fine.

  3. Final Notice 2016: Scott Michael Crawley [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.

  4. Final Notice 2018: Murray Wilkinson [pdf]

    Final notices Published: 14/05/2018
    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 2023: Christopher Vincent Summers [pdf]

    Final notices Published: 03/10/2023
    This Final Notice (Christopher Vincent Summers) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  6. Final Notice 2019: Stamford Tractors [pdf]

    Final notices Published: 29/10/2019
    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.

  7. FCA Final Notice 2014: Leanne Marie Nicholson [pdf]

    Final notices Published: 12/12/2014 Last modified: 12/12/2014
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition.

  8. Final Notice 2017: Baildon Motor Company [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.

  9. Final Notice 2018: John Lawrence Radford [pdf]

    Final notices Published: 30/08/2018
    This final notice refers to breaches of APER 6, APER 7 and CASS relating to client money/assets and lack of fitness/propriety in the general insurance and protection sector. We imposed a fine and prohibition.

  10. Final Notice 2021: Sportz Commercials Ltd [pdf]

    Final notices Published: 09/06/2021
    This final notice (Sportz Commercials Ltd) 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.
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