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Showing 1341 to 1350 of 4706 search results for final notice refers.

1341. Final Notice 2019: LVCS Limited [pdf]

      Final notices Published: 04/10/2019
      This final notice (LVCS 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.

1342. Final Notice 2021: Jamie Burgin (trading as Rivelin Motors) [pdf]

      Final notices Published: 28/06/2021
      This final notice (Jamie Burgin (trading as Rivelin Motors)) 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

1343. Final Notice 2022: Sir Christopher Gent [pdf]

      Final notices Published: 05/08/2022 Last modified: 12/08/2022
      This Final Notice (Sir Christopher Gent) refers to breaches of the Market Abuse Regulations related to unlawful disclosure of inside information in the issuers sector. We imposed a financial penalty

1344. Final Notice 2023: Simon Richard Hughes [pdf]

      Final notices Published: 03/10/2023
      This Final Notice (Simon Richard Hughes) refers to breaches of APER 2, 6 and 7 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition and withdrawal. A payment of

1345. Final Notice 2021: Michael John Dwane [pdf]

      Final notices Published: 01/03/2021
      This final notice Michael John Dwane refers to a failure to satisfy the effective supervision threshold condition (COND) and the suitability threshold condition (COND). We refused the firm’s application for authorisation.

1346. Final Notice 2020: John Richards [pdf]

      Final notices Published: 12/02/2020
      This final notice (John Richards) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

1347. Final Notice 2022: Evest Limited [pdf]

      Final notices Published: 18/01/2022
      This Final Notice (Evest Limited) refers to a failure to satisfy the effective supervision and suitability threshold conditions (COND) and to be open and co-operative with the Authority (PRIN 11) in relation to a firm within the TPR. We imposed a

1348. Final notice 2020: Epos Up Limited [pdf]

      Final notices Published: 28/01/2020
      This final notice (Epos Up Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

1349. Final Notice 2018: Angela Burns [pdf]

      Final notices Published: 14/12/2018
      This final notice (Angela Burns) refers to breaches by a non-executive director of APER 1 for failing to declare conflicts of interest and FIT for lack of fitness/propriety. We imposed a fine and prohibition.

1350. Final Notice 2018: Robert Scott [pdf]

      Final notices Published: 24/08/2018
      This FCA final notice (Robert Scott) 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.