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Showing 161 to 170 of 4700 search results for final notice refers.

161. Final notice 2016: PDHL Limited [pdf]

     Final notices Published: 10/03/2016 Last modified: 10/03/2016
     This final notice refers to numerous breaches of CONC Chapter 8 related to an inability to meet Threshold Condition 2D (appropriate non-financial resources) and 2E (Suitability) in the Consumer Credit: Debt Management sector. We imposed a refusal of

162. Final notice 2016: Mark Thorogood [pdf]

     Final notices Published: 12/01/2016 Last modified: 12/01/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety and mortgage fraud in the mortgages sector. We imposed a refusal.

163. Final notice 2016: Mark Kelly [pdf]

     Final notices Published: 09/06/2016 Last modified: 09/06/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

164. Final Notice 2017: Ian Foden [pdf]

     Final notices Published: 23/06/2017
     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.

165. Final Notice 2017: Tesco plc [pdf]

     Final notices Published: 28/03/2017
     This final notice refers to breaches of s.118(7) related to market abuse in the issuer sector. We imposed a restitution.

166. Final Notice 2022: BGC Brokers LP, GFI Securities Limited and GFI Brokers Limited [pdf]

     Final notices Published: 08/12/2022
     This Final Notice refers to breaches of Principle 3 of the FCA’s Principles for Businesses and Article 16(2) of the Market Abuse Regulation related to market protection and wholesale conduct in the Trading Firm sector. We imposed a financial

167. FCA Final Notice 2013: Foneshield (UK) Limited [pdf]

     Final notices Published: 26/07/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

168. FCA Final Notice 2014: Ewan King [pdf]

     Final notices Published: 30/01/2014 Last modified: 19/05/2015
     This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

169. FCA Final Notice 2013: Ahmed Ali [pdf]

     Final notices Published: 08/08/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation.

170. Final Notice 2024: Graham Lilley T/A Global Car Leasing [pdf]

     Final notices Published: 12/06/2024
     This Final Notice refers to breaches of FIT and COND related to a lack of fitness/propriety and breach of COND in the consumer credit sector. We imposed a prohibition and a cancellation of Part 4A permissions.