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Showing 2481 to 2490 of 7096 search results for final notice.
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Final Notice 2019: Glossy R Ltd [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: Excel Leasing 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. -
FCA Final Notice 2013: Andrew Joseph Powell [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the wealth management and private banking, investment advisers and platforms sector. We imposed a prohibition. -
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 2016: Bar Professions Limited (in liquidation) [pdf]
This final notice refers to breaches of PRIN 2, PRIN 7 and ICOBS related to appointed representatives and failing to act on information appropriately in the general insurance and protection sector. We imposed a public censure. -
Final Notice 2019: Ellis of Castleford [pdf]
This final notice (Ellis of Castleford) 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. -
FSA Final Notice 2013: Lloyds TSB Bank Plc, Lloyds TSB Scotland Plc and Bank of Scotland plc (together Lloyds Banking Group) [pdf]
For the reasons set out in this Final Notice, the FSA is taking action against Lloyds TSB Bank Plc, Lloyds TSB Scotland Plc and Bank of Scotland plc (together Lloyds Banking Group) -
Final Notice 2015: Paul Christopher Ridden [pdf]
This final notice refers to breaches of FIT, related to threshold conditions in the consumer credit sector. We imposed a cancellation. -
Final notice 2016: Andrea Christine Sadler [pdf]
This final notice refers to breaches of APER 6 and FIT related to appointed representatives, client money, failing to act on information appropriately, lack of fitness/propriety and unfair treatment of customers in the general insurance and