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Showing 2341 to 2350 of 7095 search results for final notice.

  1. FSA Final Notice 2013: Mr Sidney Cordle [pdf]

    Final notices Published: 27/03/2013 Last modified: 30/05/2013
    For the reasons set out in this Final Notice, the FSA is taking action against Mr Sidney Cordle.

  2. Final Notice 2017: Charles Palmer [pdf]

    Final notices Published: 19/09/2017
    This final notice refers to breaches of APER 6 and FIT related to appointed representatives/ networks, culture/governance, lack of fitness/propriety and unfair treatment of customers in the Investment Adviser sector. We imposed a fine and prohibition

  3. Final Notice: Danes Autos Limited [pdf]

    Final notices Published: 21/10/2016
    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.

  4. FSA Final Notice 2012: Gracechurch Investments Limited (In Liquidation) [pdf]

    Final notices Published: 20/12/2012 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Gracechurch Investments Limited (In Liquidation)

  5. Final Notice 2023: Stratton Leasing Limited [pdf]

    Final notices Published: 15/02/2023
    'The Final Notice refers to breaches of the suitability and appropriate resources Threshold Conditions (COND), and to be open and co-operative with the Authority (Prin 11) in the consumer credit sector. We imposed a cancellation.

  6. Final Notice 2019: Wesley Mckeever [pdf]

    Final notices Published: 06/12/2019
    This final notice (Wesley Mckeever) 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.

  7. Final Notice 2019: Nicholas Powell (trading as National Car Sales) [pdf]

    Final notices Published: 15/08/2019
    This final notice refers to a failure to satisfy the effective supervision threshold condition (COND) in the consumer credit sector. We imposed a cancellation.

  8. Final Notice 2017: Christine Whitehurst [pdf]

    Final notices Published: 23/10/2017
    This final notice refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. Final Notice: Christine Whitehurst Conduct: Client money/assets; Lack of

  9. Final Notice 2023: Al Rayan Bank PLC [pdf]

    Final notices Published: 11/01/2023
    This Final Notice refers to breaches of Principle 3 related to Financial Crime in the Retail Bank sector. We imposed a Financial Penalty.

  10. FSA Final Notice 2013: Michael Lee Thommes [pdf]

    Final notices Published: 15/01/2013 Last modified: 31/05/2013
    For the reasons set out in this Final Notice, the FSA is taking action against Michael Lee Thommes
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