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Showing 801 to 810 of 6299 search results for This final notice.
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FCA Final Notice 2013: Paul David Cable [pdf]
This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the general insurance and protection sector. We imposed a fine and a prohibition. -
Final Notice: Wajid Qayum [pdf]
This final notice (Wajid Qayum) 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. -
Final Notice 2024: Chrome Autos Limited [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the credit broking sector. We refused the firm’s application for authorisation. -
Final Notice 2015: Sam Thomas Kenny [pdf]
This final notice refers to breaches of APER 1 and APER 7 related to unfair treatment of customers, mis-selling, lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition. -
Final notice 2016: Trevor John Fry [pdf]
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. -
Final Notice 2020: Shruti Patel aka Cindy Brad [pdf]
This Final Notice refers to breaches of FIT by an unapproved mortgage advisor. We imposed a prohibition. -
Final Notice 2015: Ghanshyam Sarup Batra [pdf]
This final notice refers to breaches of FIT, APER 1, APER 4 related to lack of fitness/propriety and failing to be open and co-operative in the mortgages sector. We imposed a prohibition and a withdrawal. -
FCA Final Notice 2014: David Lloyd Wren [pdf]
This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the general insurance and protection sector. We imposed a withdrawal of approval, a fine and a prohibition. -
FSA Final Notice 2011: PBF Financial Limited (In Liquidation) [pdf]
For the reasons set out in this Final Notice, the FSA is taking action against PBF Financial Limited (In Liquidation) -
Final Notice 2018: Robert Hyde [pdf]
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.