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Showing 801 to 810 of 4701 search results for final notice refers.

  1. Final Notice 2017: Mymoneyman Finance Limited [pdf]

    Final notices Published: 03/01/2017
    This final notice refers to breaches of COND and PRIN 1.1 related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

  2. Final Notice 2023: SMH Financial Services Ltd [pdf]

    Final notices Published: 08/12/2023
    “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”.

  3. Final Notice 2018: Oaklea Autos NI Ltd [pdf]

    Final notices Published: 06/03/2018
    This final

  4. FCA Final Notice 2013: Daniel Christopher Conway [pdf]

    Final notices Published: 17/12/2013 Last modified: 07/04/2015
    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.

  5. Final Notice 2023: Stanley Moore Motors Ltd [pdf]

    Final notices Published: 27/03/2023
    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.

  6. Final Notice 2015: Deutsche Bank AG [pdf]

    Final notices Published: 23/04/2015 Last modified: 23/04/2015
    This final notice refers to breaches of PRIN 5, PRIN 3 and PRIN 11 related to wholesale conduct, benchmarks, failing to be open and co-operative and culture/governance in the investment bank sector. We imposed a fine.

  7. Final Notice 2018: Christopher Paul Brotherton [pdf]

    Final notices Published: 25/07/2018
    This final notice refers to breaches of FIT related to lack of fitness/propriety and unfair treatment of customers in the consumer credit sector. We imposed a prohibition.

  8. Final Notice 2018: Paul John Flowers [pdf]

    Final notices Published: 06/03/2018
    This final notice refers to a lack of fitness and propriety and is related to culture/governance in the retail bank sector. We imposed a prohibition.

  9. Final Notice 2018: S P Car Ltd [pdf]

    Final notices Published: 09/03/2018
    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.

  10. Final Notice 2021: Wills Cars Limited [pdf]

    Final notices Published: 02/12/2021
    This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the credit broking sector. We refused the firm’s application for authorisation.
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