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Showing 591 to 600 of 4701 search results for final notice refers.

591. Final notice 2016: Ray Alexander Wilson [pdf]

     Final notices Published: 27/01/2016 Last modified: 27/01/2016
     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.

592. Final Notice 2015: Linda Carole Stuart [pdf]

     Final notices Published: 23/11/2015 Last modified: 23/11/2015
     This final notice refers to numerous breaches of CONC Chapter 8 and SYSC 9.1 related to inability to meet Threshold Condition 2D (appropriate non-financial resources) in the Consumer Credit: Debt Management sector. We imposed a refusal of Part 4A

593. Final Notice 2017: Paul Richard Watkins [pdf]

     Final notices Published: 23/06/2017
     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.

594. Final Notice 2017: Paul John Moorefield [pdf]

     Final notices Published: 24/07/2017
     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.

595. Final Notice 2024: Link Fund Solutions Limited [pdf]

     Final notices Published: 11/04/2024
     This Final Notice refers to a failure by Link Fund Solutions Limited to act with due skill, care and diligence in carrying out its role as Authorised Corporate Director of the Woodford Equity Income Fund. We imposed a requirement to pay restitution

596. FCA Final Notice 2014: Anthony Clare [pdf]

     Final notices Published: 05/11/2014 Last modified: 07/04/2015
     This final notice refers to breaches of APER 6 and 7 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the general insurance and protection sector. We imposed a public fine.

597. FCA Final Notice 2014: Mohammed Tazul Islam [pdf]

     Final notices Published: 23/09/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 11 related to threshold conditions in the mortgages sector. We imposed a cancellation.

598. Final Notice 2017: Charles Palmer [pdf]

     Final notices Published: 19/09/2017
     This final notice refers to breaches of APER 6 and FIT related to appointed representatives/ networks, culture/governance, lack of fitness/propriety and unfair treatment of customers in the Investment Adviser sector. We imposed a fine and prohibition

599. Final Notice 2015: Sylhet Links Limited [pdf]

     Final notices Published: 21/07/2015 Last modified: 21/07/2015
     This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation.

600. Final Notice 2017: Southwater Cars [pdf]

     Final notices Published: 19/10/2017
     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.