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Showing 401 to 410 of 4700 search results for final notice refers.
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Final Notice 2016: Tim Morse [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: Churchill Securities (UK) Limited [pdf]
This Final Notice refers to breaches of TC related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation. -
Final Notice 2022: Paul Seakens [pdf]
This Final Notice refers to breaches of FIT by an investment platform operator. We imposed a prohibition. -
Final Notice 2016: Bathesafely Limited [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 2018: Ian Emery [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 consumer credit sector. We imposed a cancellation. -
Final Notice 2019: David John Mills [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety. We imposed a prohibition. -
Final Notice 2017: Dale (83) Limited [pdf]
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. -
FCA Final Notice 2013: Christopher Willford [pdf]
This final notice refers to breaches of APER 6 related to failing to act on information appropriately in the retail banks sector. We imposed a fine. -
Final Notice 2019: Mark Dobson [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the retail banking sector. We imposed a prohibition. -
Final Notice 2019: Shaun Rowe [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 consumer credit sector. We imposed a cancellation.