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Showing 2091 to 2100 of 7095 search results for final notice.
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FSA Approved Person Refusals 2005: James Austin Caviel [pdf]
FSA Approved Person Refusals 2005: James Austin Caviel -
FSA Application Refusal 2006: Global Yacht Shipping Limited [pdf]
FSA Application Refusal 2006: Global Yacht Shipping Limited -
FSA Application Refusal 2004: Eastend Properties Limited [pdf]
FSA Application Refusal 2004: Eastend Properties Limited -
Final Notice 2018: Equigon LLP [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 designated investment business sector. We imposed a cancellation. -
FSA Approved Person Refusals 2005: Mr Sean James McCabe [pdf]
FSA Approved Person Refusals 2005: Mr Sean James McCabe -
Final notice 2016: CT Capital Limited [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 6 related to complaints-handling and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine. -
Final Notice 2023: MC Motor Sales Ltd [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND). We refused the firm’s application for authorisation. -
Final Notice 2021: Roman Claims Limited [pdf]
This final notice refers to a failure to satisfy the threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation. -
FSA Application Refusal 2005: JR Residential & Commercial Mortgages (LLC) Limited [pdf]
FSA Application Refusal 2005: JR Residential & Commercial Mortgages (LLC) Limited -
Final Notice 2022: Matthew Charles Kent [pdf]
This Final Notice (Matthew Charles Kent) 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