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Showing 671 to 680 of 4701 search results for final notice refers.
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Final Notice 2018: Murray Wilkinson [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. -
FCA Final Notice 2013: Ingram Graham Limited (in Creditors’ Voluntary Liquidation) [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation. -
Final notice 2016: M I Wealth Management Limited [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and cooperative and threshold conditions in the general insurance and protection sector. We imposed a cancellation. -
Final Notice 2017: The Encore Trading Company Limited [pdf]
This final notice refers to breaches of PRIN11 and COND relating to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final Notice 2018: John Lawrence Radford [pdf]
This final notice refers to breaches of APER 6, APER 7 and CASS relating to client money/assets and lack of fitness/propriety in the general insurance and protection sector. We imposed a fine and prohibition. -
FCA Final Notice 2013: Swinton Group Limited [pdf]
This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to unfair treatment of customers in the general insurance and protection sector. We imposed a fine. -
Final Notice 2018: Mr Dale Cole [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. -
FCA Final Notice 2013: Andrew Joseph Powell [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the wealth management and private banking, investment advisers and platforms sector. We imposed a prohibition. -
FCA Final Notice 2014: Leanne Marie Nicholson [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition. -
Final Notice 2019: Glossy R 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.