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Showing 2071 to 2080 of 6304 search results for This final notice.

2071. Final Notice 2018: Canara Bank [pdf]

      Final notices Published: 06/06/2018
      This FCA Final Notice (Canara Bank) refers to breaches of Principle 3 and SYSC related to financial crime in the retail bank sector. We imposed a fine and restriction.

2072. Final Notice 2019: Scottish Air Systems (Craig Drummond trading as) [pdf]

      Final notices Published: 31/01/2019
      This final notice (Scottish Air Systems Craig Drummond trading as) 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

2073. Final Notice 2018: James Lewis [pdf]

      Final notices Published: 24/08/2018
      This FCA final notice (James Lewis) 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.

2074. Final Notice 2020: Paul Milsom [pdf]

      Final notices Published: 27/04/2020
      The reason for this action is because he lacks honesty and integrity such that he is not fit and proper to perform any functions in relation to regulated activities carried on by an authorised person, exempt person or exempt professional firm. As a

2075. UK SFTR news

      Published: 05/03/2021 Last modified: 23/10/2023
      Read FCA news updates on the UK Securities Financing Transactions Regulation (UK SFTR).

2076. Final Notice 2020: Zaka Haq trading as Accident Specialists Bedford [pdf]

      Final notices Published: 20/10/2020 Last modified: 20/10/2020
      This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation.

2077. Final Notice 2018: Robert Scott [pdf]

      Final notices Published: 24/08/2018
      This FCA final notice (Robert Scott) 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.

2078. Final notice 2020: James Creed & Acsar Shazadi & Anzelika Lazdovskaja Ltd [pdf]

      Final notices Published: 29/05/2020
      This final notice (James Creed & Acsar Shazadi & Anzelika Lazdovskaja Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

2079. Final Notice 2017: Rotton Park/ Winson Green Credit Union Limited [pdf]

      Final notices Published: 22/08/2017
      This final notice refers to a cancellation of permission pursuant to exercising powers under section 55J of FSMA in the credit union sector.

2080. FCA Final Notice 2014: Chase de Vere Independent Financial Advisers Limited (formerly AWD Chase de Vere Limited) [pdf]

      Final notices Published: 17/11/2014 Last modified: 08/05/2015
      This final notice refers to breaches of PRIN 3, PRIN 7, SYSC, and COBS related to mis-selling in the investment adviser sector. We imposed a redress.