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Showing 2721 to 2730 of 7095 search results for final notice.
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FSA Final Notice 2013: Scott Briscoe Limited [pdf]
For the reasons set out in this Final Notice, the FSA is taking action against Scott Briscoe Limited -
Final Notice 2021: Abacus Management Ltd [pdf]
This final notice (Abacus Management Ltd) 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 -
Final Notice 2019: LMA Motors Limited [pdf]
This final notice (LMA Motors Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2015: John Edward Duncan Field [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2017: Clive John Rosier [pdf]
This final notice (Clive Rosier) refers to breaches of APER 2 and APER 7 for complaints-handling, failure to demonstrate that suitable advice was given and lack of fitness/propriety in the investment adviser sector. We imposed a fine, withdrawal and -
Final notice: Andrew Barry Hart [pdf]
This final notice refers to breaches of FIT related to a lack of fitness and propriety in the consumer credit sector. We imposed a prohibition. -
Final notice 2015: Ashley Rudland [pdf]
This final notice refers to a candidate for approval to perform controlled functions not satisfying the competence criteria of the FCA’s Fit and Proper Person Test. We refused the application. -
Final notice 2016: Peter Francis Johnson [pdf]
This final notice refers to breaches of APER 1, APER 4 and FIT related to failing to be open and co-operative, failing to act on information appropriately, a lack of fitness/propriety and mis-selling in the asset management sector. We imposed a -
Final Notice 2023: Newline Vehicle & Finance Limited [pdf]
This Final Notices 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 2019: 121 Rental Limited [pdf]
This final notice (121 Rental Limited) 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.