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Showing 371 to 380 of 4700 search results for final notice refers.
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Final Notice 2023: Susan Mary Jones [pdf]
This Final Notice refers to breaches of Principles for Business 2 related to the provision of unsuitable pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £40,888 is being made to the FSCS. -
Final Notice 2024: Global 4X Limited [pdf]
This final notice refers to breaches of Payment Services Regulations 2017 related to a failure to meet the conditions of authorisation. We imposed a cancellation. -
Final Notice 2023: Columbus Legal Limited [pdf]
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 General Insurance and investment adviser sector. We imposed a cancellation. -
Final Notice 2023: LCUK Finance Ltd [pdf]
This final notice refers to a failure to be open and co-operative with the Authority PRIN 11. -
Final Notice 2018: Maddison Cars (John Maddison trading as) [pdf]
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. -
FCA Final Notice 2013: The Royal Bank of Scotland plc and The Royal Bank of Scotland N.V. (together “RBS”) [pdf]
This final notice refers to breaches of SUP and PRIN 2 related to transaction reporting in the investment banks sector. We imposed a fine. -
Final notice 2016: Crimson Car Sales [pdf]
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. -
Final Notice 2017: Raj Von Badlo [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final notice 2016: Lynda Jayne Croome [pdf]
This final notice refers to the Authority’s objection to an acquisition under section 186 (a) FSMA based on an assessment made in accordance with section 185 FSMA that the acquirer lacked suitability. -
Final Notice 2017: Insulating Windows [pdf]
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.