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Showing 541 to 550 of 3278 search results for This final notice refers.
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Final Notice 2023: Al Rayan Bank PLC [pdf]
This Final Notice refers to breaches of Principle 3 related to Financial Crime in the Retail Bank sector. We imposed a Financial Penalty. -
Final Notice 2019: Lynden Gerard Scourfield [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the retail banking sector. We imposed a prohibition. -
Final Notice 2017: Woodston 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 2016: (Be)Spoke Derby 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 2023: Meadowbrook Motors Limited [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 2017: Michael McGillen [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. -
FCA Final Notice 2013: Ingram Graham Limited (in Creditors’ Voluntary Liquidation) [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation. -
Final Notice 2015: Quick Purchase [pdf]
This Final Notice refers to breaches of PRIN 6 and MCOB (Mortgage Conduct of Business Rules) related to unfair treatment of customers in the sale and rent back sector. We imposed a fine and redress. -
Final notice 2016: Timothy Duncan Philip [pdf]
This final notice refers to breaches of APER 6 and FIT related to a lack of fitness and propriety and client money/assets in the general insurance and protection sector. We imposed a fine and prohibition. -
Final Notice 2018: Alexander David Osborne Stuart [pdf]
This final notice refers to breaches of APER 1 and FIT relating to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition.