Search results
Showing 831 to 840 of 6299 search results for This final notice.
-
Final Notice 2023: Vast Cars Limited [pdf]
This final notice (Vast Cars Limited) refers to a failure to satisfy the Suitability and Appropriate Resources threshold conditions (COND) in the consumer credit sector. We imposed a cancellation. -
Final Notice 2020: Carl Brookes [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2018: James Price [pdf]
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. -
Final notice 2016: Colin J McIntosh [pdf]
This final notice refers to breaches of APER 1, APER 4, APER 7, FIT and CASS related to appointed representatives, client money, failing to act on information appropriately, failing to be open and co-operative, lack of fitness/propriety and unfair -
Final Notice 2017: Stephen Alan Fox [pdf]
This final notice refers to a breach of FIT relating to a lack of fitness/propriety in the general insurance and protection sector. We imposed a prohibition. -
Final Notice 2020: Inovtrix Ltd [pdf]
This final notice Inovtrix Ltd refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final notice 2016: Solutions on Call Limited [pdf]
This final notice refers to breaches of Principle 11 related to Threshold Conditions and failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2021: Simon John Varley [pdf]
This Final Notice refers to Section 63A FSMA and breaches relating to APER 1 and FIT relating to a lack of honesty and integrity in the investment advisory sector. We imposed a fine and a prohibition. -
Final Notice 2023: Simon Richard Hughes [pdf]
This Final Notice (Simon Richard Hughes) refers to breaches of APER 2, 6 and 7 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition and withdrawal. A payment of -
Final Notice 2023: Peak Bikes Limited [pdf]
This final notice (Peak Bikes 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.