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Showing 391 to 400 of 4700 search results for final notice refers.

391. Final notice 2015: Vroni O'Brien [pdf]

     Final notices Published: 17/12/2015 Last modified: 17/12/2015
     This final notice refers to breaches of APER 2, APER 7, FIT and CASS related to a lack of fitness/propriety, client money/assets and failing to act on information appropriately in the general insurance and protection sector. We imposed a fine and

392. Final notice 2016: Mark Andrew Walker [pdf]

     Final notices Published: 13/07/2016 Last modified: 13/07/2016
     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.

393. Final notice 2016: Tellaw (UK) Limited [pdf]

     Final notices Published: 17/08/2016
     This final notice refers to breaches of the Electronic Money Regulations 2011, Regulation 13, related to initial capital, business plan, safeguarding, lack of fitness and propriety, and failing to be open and co-operative with the Authority. We

394. FCA Final Notice 2013: Sovereign Worldwide Limited [pdf]

     Final notices Published: 04/07/2013 Last modified: 07/04/2015
     This final notice refers to breaches of COND related to threshold conditions and mortgage fraud in the investment advisers and platforms sector. We imposed a withdrawal.

395. FCA Final Notice 2014: Investments Limited [pdf]

     Final notices Published: 23/07/2014 Last modified: 13/03/2015
     This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction.

396. Final Notice 2018: Alok Dhanda [pdf]

     Final notices Published: 16/01/2018
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

397. Final Notice 2023: UAB Best Finance [pdf]

     Final notices Published: 08/12/2023
     This final notice refers to a cancellation of a Transitional Authorisation as a result of the withdrawal of authorisation by a home state competent authority. We imposed a cancellation.

398. Final Notice 2023: West Buy Limited [pdf]

     Final notices Published: 07/07/2023
     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.

399. Final Notice 2017: JT Motors [pdf]

     Final notices Published: 15/05/2017
     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.

400. Final Notice 2017: Afzal Ali [pdf]

     Final notices Published: 05/01/2017
     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.