Search results

Showing 281 to 290 of 3277 search results for This final notice refers.

281. Final Notice 2018: Alex Hope [pdf]

     Final notices Published: 07/03/2018
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment sector. We imposed a prohibition.

282. Final Notice 2017: R Taggar [pdf]

     Final notices Published: 18/08/2017
     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.

283. Final Notice 2018: Alok Dhanda [pdf]

     Final notices Published: 16/01/2018
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

284. Final Notice 2015: Ghanshyam Sarup Batra [pdf]

     Final notices Published: 07/08/2015 Last modified: 07/08/2015
     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.

285. Final Notice 2023: Ray Alan Davis [pdf]

     Final notices Published: 15/11/2023
     This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the General Insurance and Protection sector. We imposed a prohibition.

286. FCA Final Notice 2013: Churchill Securities (UK) Limited [pdf]

     Final notices Published: 25/07/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of TC related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

287. Final notice 2016: Solutions on Call Limited [pdf]

     Final notices Published: 21/01/2016 Last modified: 21/01/2016
     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.

288. FCA Final Notice 2013: The Royal Bank of Scotland plc and The Royal Bank of Scotland N.V. (together “RBS”) [pdf]

     Final notices Published: 16/07/2013 Last modified: 07/04/2015
     This final notice refers to breaches of SUP and PRIN 2 related to transaction reporting in the investment banks sector. We imposed a fine.

289. Final Notice 2023: Columbus Legal Limited [pdf]

     Final notices Published: 23/05/2023
     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 General Insurance and investment adviser sector. We imposed a cancellation.

290. Final Notice 2018: The Hogfather Limited [pdf]

     Final notices Published: 16/08/2018
     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.