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Showing 1971 to 1980 of 7095 search results for final notice.

1971. FCA Final Notice 2013: Paul David Cable [pdf]

      Final notices Published: 19/07/2013 Last modified: 19/05/2015
      This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the general insurance and protection sector. We imposed a fine and a prohibition.

1972. FSA Final Notice 2011: Ashok Kumar Sharma trading as Shivani Claims Services [pdf]

      Final notices Published: 30/09/2011 Last modified: 14/06/2014
      For the reasons set out in this Final Notice, the FSA is taking action against Ashok Kumar Sharma trading as Shivani Claims Services

1973. Final Notice 2018: Emily Cook [pdf]

      Final notices Published: 18/05/2018
      This final notice (Emily Cook) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

1974. Final Notice 2020: Mark Horsey [pdf]

      Final notices Published: 05/11/2020
      This Final Notice (Mark Horsey) refers to breaches of FIT by a financial adviser. We imposed a prohibition. File updated to include autotag accessibility requirement.

1975. FSA Final Notice 2011: Mr Jeremy Nicholas Sheard [pdf]

      Final notices Published: 16/02/2011 Last modified: 14/06/2014
      For the reasons set out in this Final Notice, the FSA is taking action against Mr Jeremy Nicholas Sheard

1976. FCA Final Notice 2014: David Lloyd Wren [pdf]

      Final notices Published: 03/04/2014 Last modified: 07/04/2015
      This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the general insurance and protection sector. We imposed a withdrawal of approval, a fine and a prohibition.

1977. FCA Final Notice 2014: Santander UK plc [pdf]

      Final notices Published: 26/03/2014 Last modified: 07/04/2015
      This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to unfair treatment of customers in the wealth management and private banking, investment advisers and platforms sector. We imposed a fine.

1978. FSA Final Notice 2003: Reynolds and Dodd [pdf]

      Final notices Published: 01/08/2003 Last modified: 14/06/2014
      FSA Final Notice 2003: Reynolds and Dodd

1979. FSA Final Notice 2003: Sean Michael Blackwell [pdf]

      Final notices Published: 01/12/2003 Last modified: 14/06/2014
      FSA Final Notice 2003: Sean Michael Blackwell

1980. Final Notice 2022: David Andrew Hyde (trading as Cundy X Cars) [pdf]

      Final notices Published: 17/10/2022
      This final notice (David Andrew Hyde (trading as Cundy X Cars) 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