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Showing 181 to 190 of 4700 search results for final notice refers.

181. Final Notice 2017: Parm Milap [pdf]

     Final notices Published: 04/07/2017
     This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

182. Final Notice 2021: Mr Adrian Horn [pdf]

     Final notices Published: 04/03/2021
     The Final Notice refers to breaches of MAR and FIT relating to Market Abuse in the Trading Firm sector. We imposed a Financial Penalty and Prohibition.

183. Final Notice 2024: Robert Harriss [pdf]

     Final notices Published: 24/05/2024
     This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the credit broker sector. We imposed a prohibition.

184. Final notice 2016: W H Ireland Limited [pdf]

     Final notices Published: 23/02/2016 Last modified: 23/02/2016
     This final notice refers to breaches of PRIN 3 and SYSC related to market protection, culture/governance and conflicts of interest in the wealth management and private banking sector. We imposed a fine and restriction.

185. Final notice 2016: David Michael Sayer trading as D M Sayer and Co (Insurance) [pdf]

     Final notices Published: 15/04/2016 Last modified: 15/04/2016
     This final notice refers to breaches of PRIN 11 and COND related to failing to be open and cooperative and threshold conditions in the general insurance and protection sector. We imposed a cancellation.

186. Final Notice 2017: Gary Drury [pdf]

     Final notices Published: 17/05/2017
     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.

187. Final Notice 2017: John Green [pdf]

     Final notices Published: 02/02/2017
     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.

188. Final Notice 2023: Mr Paul Steel [pdf]

     Final notices Published: 04/07/2023
     This Final Notice refers to breaches of APER 1, 2 and 4, and COCON 1 and 3 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a financial penalty and a prohibition.

189. Final Notice 2024: Clint Canning (AKA Christian Beauchamp AKA Clint Foster) [pdf]

     Final notices Published: 16/02/2024
     This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

190. Final Notice 2023: Avanao Limited (trading as carloans.co.uk) [pdf]

     Final notices Published: 08/09/2023
     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