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Showing 611 to 620 of 4701 search results for final notice refers.
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Final Notice 2018: Trackerview Ltd [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 2015: Alberto Micalizzi [pdf]
This final notice refers to breaches of APER 1 related to client money/assets, and lack of fitness/propriety in the asset management sector. We imposed a fine and a prohibition. -
FCA Final Notice 2014: Andrew Charles Rees [pdf]
This final notice refers to breaches of APER 7 related to unfair treatment of customers, conflicts of interest, and lack of fitness/propriety in the investment advisors and platforms sector. We imposed a prohibition, withdrawal, and public censure. -
Final Notice 2015: Stephen Edward Bell [pdf]
This final notice refers to breaches of PRIN 3 (knowing concern) and FIT related to the lack of fitness/propriety, culture/governance and appointed representatives in the general insurance and protection, investment adviser and platform sector. We -
FCA Final Notice 2013: Richards Wines and Levy Limited [pdf]
This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a cancellation. -
Final Notice 2016: Tariq Carrimjee [pdf]
This final notice refers to breaches of APER 2 and FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition. -
Final Notice 2023: Stratton Leasing Limited [pdf]
'The Final Notice refers to breaches of the suitability and appropriate resources Threshold Conditions (COND), and to be open and co-operative with the Authority (Prin 11) in the consumer credit sector. We imposed a cancellation. -
Final Notice 2017: Mervyn Johnston [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 2023: MC Motor Sales Ltd [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND). We refused the firm’s application for authorisation. -
Final notice 2016: Robert John Bygrave [pdf]
This final notice refers to breaches of APER 6, FIT and CASS related to appointed representatives, failing to act on information appropriately, client money, lack of fitness/propriety and unfair treatment of customers in the general insurance and