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Showing 251 to 260 of 4700 search results for final notice refers.

251. Final Notice 2023: Jason Morrison [pdf]

     Final notices Published: 25/09/2023
     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.

252. Final notice 2016: Mr Kevin Clarke [pdf]

     Final notices Published: 21/06/2016 Last modified: 21/06/2016
     This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative and a lack of fitness/propriety in the consumer credit sector. We imposed a refusal.

253. FCA Final Notice 2013: Daniel Norris [pdf]

     Final notices Published: 23/10/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection. We imposed a cancellation.

254. Final Notice 2016: Robin Cawley [pdf]

     Final notices Published: 26/10/2016
     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.

255. Final Notice 2023: Floenergy Ltd [pdf]

     Final notices Published: 03/05/2023
     This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the credit broking sector. We refused the firm’s application for authorisation.

256. Final Notice 2015: David Caplin [pdf]

     Final notices Published: 22/01/2015 Last modified: 22/01/2015
     This final notice refers to breaches of APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition.

257. Final notice 2016: Shay Jacob Reches [pdf]

     Final notices Published: 01/02/2016 Last modified: 01/02/2016
     This final notice refers to breaches of section 63A and FIT related to appointed representatives, failing to be open and co-operative, client money, lack of fitness/propriety and unfair treatment of customers in the general insurance and protection

258. Final Notice 2015: Rogerio Pinto [pdf]

     Final notices Published: 12/02/2015 Last modified: 02/04/2015
     This final notice refers to breaches of FIT related to lack of fitness and propriety in the trading firm sector. We imposed a refusal.

259. Final Notice 2017: Stephen Duffy [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.

260. FCA Final Notice 2013: Jeffrey Simon Bennett [pdf]

     Final notices Published: 12/07/2013 Last modified: 19/05/2015
     This final notice refers to breaches of APER 6 related to misselling and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a fine, a prohibition order and withdrawal of approval.