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Showing 311 to 320 of 4700 search results for final notice refers.

311. Final Notice 2015: Magnus Michael Peterson [pdf]

     Final notices Published: 26/10/2015 Last modified: 26/10/2015
     This Final Notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition.

312. Final Notice 2017: Lukhvir Thind [pdf]

     Final notices Published: 07/04/2017
     This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition.

313. Final Notice 2017: Charles Rooney [pdf]

     Final notices Published: 05/05/2017
     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.

314. Final Notice 2017: Brian Richards [pdf]

     Final notices Published: 13/06/2017
     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.

315. Final Notice 2017: Gareth McCrone [pdf]

     Final notices Published: 03/04/2017
     This final notice refers to breaches of PRIN related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

316. Final Notice 2022: Elite UK Claims [pdf]

     Final notices Published: 30/09/2022
     Final Notice 2022: Elite UK Claims. This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the Claims Management Company sector. We refused the firm’s application for authorisation

317. FCA Final Notice 2013: Mr Andrew Jeffery [pdf]

     Final notices Published: 23/08/2013 Last modified: 07/04/2015
     This final notice refers to breaches of APER1 and APER4 related to insurance fraud in the general insurance and protection sector. We imposed a fine and a prohibition order.

318. FCA Final Notice 2013: Sesame Limited [pdf]

     Final notices Published: 05/06/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 and PRIN 9 related to mis-selling, and appointed representatives in the investment advisers and platforms sector. We imposed a fine.

319. FCA Final Notice 2014: Paul Catterall [pdf]

     Final notices Published: 19/06/2014 Last modified: 07/04/2015
     This final notice refers to breaches of COND related to threshold conditions, and lack of fitness/propriety in the general insurance and protection sector. We imposed a refusal.

320. FCA Final Notice 2014: Mohammed Hasan trading as Baba Money [pdf]

     Final notices Published: 02/06/2014 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 systems sector. We imposed a cancellation.