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Showing 811 to 820 of 6299 search results for This final notice.
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Final Notice 2018: Kelly Lewis [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 2015: M8’s Rates Loans Limited [pdf]
This final notice refers to breaches of COND and CONC, related to threshold conditions in the consumer credit sector. We imposed a refusal. -
FCA Final Notice 2014: Santander UK plc [pdf]
This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to unfair treatment of customers in the wealth management and private banking, investment advisers and platforms sector. We imposed a fine. -
Final Notice 2022: Sir Christopher Gent [pdf]
This Final Notice (Sir Christopher Gent) refers to breaches of the Market Abuse Regulations related to unlawful disclosure of inside information in the issuers sector. We imposed a financial penalty -
Final notice 2016: Jonathan R Milnes [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 2019: Steven Hall [pdf]
This final notice (Steven Hall) 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. -
FSA Final Notice 2012: Christian Littlewood [pdf]
For the reasons set out in this Final Notice, the FSA is taking action against Christian Littlewood -
Final Notice 2018: Metlife Ltd [pdf]
This final notice refers to breaches of Principle 4, COND and MIPRU related to failing to in the general insurance and protection sector. We imposed a cancellation. -
Final Notice 2019: James Smith [pdf]
This final notice (James Smith) 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 2018: David Lloyd [pdf]
This final notice (David Lloyd) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.