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Showing 1381 to 1390 of 6304 search results for This final notice.

  1. Final Notice 2021: David Nicholas King [pdf]

    Final notices Published: 22/07/2021
    This Final Notice (David Nicholas King) refers to FIT relating to a lack of honesty and integrity in the investment advisory sector. We imposed a prohibition.

  2. Final Notice 2023: Bastion Capital London Limited [pdf]

    Final notices Published: 13/07/2023
    This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty.

  3. Final Notice 2017: Clive John Rosier [pdf]

    Final notices Published: 05/10/2017
    This final notice (Clive Rosier) refers to breaches of APER 2 and APER 7 for complaints-handling, failure to demonstrate that suitable advice was given and lack of fitness/propriety in the investment adviser sector. We imposed a fine, withdrawal and

  4. Final notice 2016: Volpe Capital Management LLP [pdf]

    Final notices Published: 13/07/2016 Last modified: 21/07/2016
    This final notice refers to a breach of PRIN 11 related to failing to be open and co-operative in the investment adviser sector. We imposed a cancellation.

  5. Final Notice 2019: Stewart Owen Ford [pdf]

    Final notices Published: 16/01/2019
    This final notice (Stewart Owen Ford) refers to breaches by an executive director of APER 1, APER 4 and FIT related to mis-selling, failing to be open and co-operative, a lack of fitness/propriety, conflicts of interest, and failing to act on

  6. Final Notice 2018: Verwood Motors Ltd [pdf]

    Final notices Published: 08/05/2018
    This final notice (Verwood Motors Ltd) 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: HomeServe Membership Limited [pdf]

    Final notices Published: 13/02/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to mis-selling, complaints-handling, unfair treatment of customers, and remuneration in the general insurance and protection sector. We imposed a fine.

  8. Final Notice 2015: John Edward Duncan Field [pdf]

    Final notices Published: 15/07/2015 Last modified: 15/07/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  9. Final Notice 2019: Motor Mart Limited [pdf]

    Final notices Published: 11/01/2019
    This final notice (Motor Mart 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.

  10. FSA Final Notice 2012: Savoy Investment Management Limited [pdf]

    Final notices Published: 12/11/2012 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Savoy Investment Management Limited
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