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Showing 701 to 710 of 4701 search results for final notice refers.

701. Final Notice 2015: Ralph Whittington [pdf]

     Final notices Published: 10/09/2015 Last modified: 10/09/2015
     This final notice refers to breaches of APER 1 and FIT related to lack of fitness/propriety, client money/assets and insurance fraud in the general insurance and protection sector. We imposed a fine, prohibition, and withdrawal.

702. Final notice 2016: Kildare Capital (UK) Limited [pdf]

     Final notices Published: 22/07/2016 Last modified: 22/07/2016
     This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector. We imposed a cancellation.

703. Final Notice 2015: Paul Christopher Ridden [pdf]

     Final notices Published: 18/02/2015 Last modified: 18/02/2015
     This final notice refers to breaches of FIT, related to threshold conditions in the consumer credit sector. We imposed a cancellation.

704. Final notice 2016: Wayne Anthony Redgrave [pdf]

     Final notices Published: 01/02/2016 Last modified: 01/02/2016
     This final notice refers to breaches of APER 6 and ICOBS related to appointed representatives, failing to act on information appropriately and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

705. FCA Final Notice 2014: RSA Mortgage Services [pdf]

     Final notices Published: 14/08/2014 Last modified: 07/04/2015
     This final notice refers to breaches of COND related to financial crime, client money/assets, failing to be open and co-operative, and lack of fitness/propriety in the mortgages sector. We imposed a withdrawal.

706. Final Notice 2016: The Heating Design Centre (James Gary Law trading as) [pdf]

     Final notices Published: 26/10/2016
     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.

707. Final notice 2015: Simon Mark Silva-Peake [pdf]

     Final notices Published: 16/12/2015 Last modified: 16/12/2015
     This final notice refers to breaches of FIT related to a lack of fitness/propriety, client money/assets and unfair treatment of customers in the investment adviser sector. We imposed a prohibition.

708. Final notice 2016: Generate Green Limited [pdf]

     Final notices Published: 15/08/2016 Last modified: 15/08/2016
     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.

709. Final Notice 2016: Bangla Express Limited [pdf]

     Final notices Published: 24/11/2016
     This final notice refers to breaches of PSR related to failing to be open and co-operative and payment services regulations in the payment services sector. We imposed a cancellation.

710. Final Notice 2015: Barclays Bank PLC - November 2015 [pdf]

     Final notices Published: 26/11/2015 Last modified: 26/11/2015
     This final notice refers to breaches of PRIN 2 related to financial crime failings. We imposed a fine.