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Showing 1231 to 1240 of 3283 search results for This final notice refers.

  1. Final Notice 2020: Neil Bartlett [pdf]

    Final notices Published: 08/04/2020
    This Final Notice (Neil Bartlett) refers to failure to meet the criteria in FIT. We imposed a prohibition.

  2. Final Notice 2020: Barclays [pdf]

    Final notices Published: 15/12/2020
    This Final Notice (Barclays) refers to breaches of PRIN 6, PRIN 3, and CONC related to unfair treatment of customers in the Retail Banking sector. We imposed a financial penalty.

  3. Final Notice 2023: Keal Stevens [pdf]

    Final notices Published: 10/08/2023
    This final notice (Keal Stevens) 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.

  4. Final Notice 2022: MHM Plant Group Limited [pdf]

    Final notices Published: 18/11/2022
    This final notice (MHM Plant Group Limited) refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation.

  5. Final Notice 2022: John Gordon (trading as Magic Cycles) [pdf]

    Final notices Published: 27/10/2022
    This final notice (John Gordon - trading as Magic Cycles) 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.

  6. Final Notice 2022: Simon Tyson [pdf]

    Final notices Published: 06/10/2022
    This Final Notice (Simon Tyson) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial penalty

  7. Final Notice 2024: William Hofstetter [pdf]

    Final notices Published: 11/03/2024
    This Final Notice (William Hofstetter) refers to a breach of APER Statement of Principle 7 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition. It has been agreed

  8. Final Notice 2023: Brian Hamilton [pdf]

    Final notices Published: 16/08/2023
    This final notice (Brian Hamilton) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in relation to a firm within the Temporary Permissions Regime. We imposed a

  9. Final Notice 2021: Derek Hamilton [pdf]

    Final notices Published: 12/02/2021
    This final notice (Derek Hamiliton) 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. Our refusal process

    Firm authorisation Published: 06/09/2023 Last modified: 30/11/2023
    Understand the process if the FCA refuses your application for authorisation.
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