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Showing 471 to 480 of 3277 search results for This final notice refers.
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Final Notice 2024: Rancom Security Limited [pdf]
This final notice refers to a failure to satisfy the appropriate resources and 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. -
FCA Final Notice 2014: Best Value 4 U Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation. -
Final Notice 2015: Sylhet Links Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
Final Notice 2017: Voxsan Limited [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 2021: Michael Milner (trading as Snap-On) [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 2019: Bank of Scotland Plc [pdf]
This final notice refers to breaches of PRIN 11 and SUP, relating to failing to be open and cooperative in the retail bank sector. We imposed a financial penalty. -
Final notice 2018: Richard Adams [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 2018: RSI Bank Plc [pdf]
This final notice refers to breaches of COND related to Threshold conditions in the consumer credit sector. We imposed a refusal. -
FCA Final Notice 2014: Peter Thomas Carron [pdf]
This final notice refers to breaches of APER 1 related to unfair treatment of customers, and lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition. -
FCA Final Notice 2014: Pritchard Stockbrokers Limited (In Special Administration) [pdf]
This final notice refers to breaches of PRIN 1, PRIN 2, PRIN 10 related to client money/assets in the asset management sector. We imposed a public censure.