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Showing 321 to 330 of 2429 search results for final notice refers to a failure.

  1. Final Notice 2021: William Bernard Drinkwater [pdf]

    Final notices Published: 19/08/2021
    This final notice (William Bernard Drinkwater) refer to a failure to satisfy the Fit and Proper Test (FIT) and a failure to satisfy the suitability threshold condition (COND) in the consumer credit sector. We imposed cancellation and prohibition

  2. Final Notice 2024: Victoria Snoddy [pdf]

    Final notices Published: 08/02/2024
    This Final Notice (Victoria Snoddy) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in relation to a new firm authorisation application. We have refused the Application.

  3. Final Notice 2018: Bouchers with Allansons Limited [pdf]

    Final notices Published: 05/04/2018
    This final notice (Bouchers with Allansons Limited) refers to failure to keep adequate records under SYSC 9.1.1R, meaning the FCA cannot satisfy itself as to the adequacy of debt advice. Other concerns include: deficient quality assurance process;

  4. Final Notice 2022: E.A. McCarroll [pdf]

    Final notices Published: 29/09/2022
    This Final Notice (E.A. McCarroll) 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.

  5. Final Notice 2021: Derek Hamilton [pdf]

    Final notices Published: 12/02/2021
    This final notice (Derek Hamiliton) 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 2023: Keal Stevens [pdf]

    Final notices Published: 10/08/2023
    This final notice (Keal Stevens) 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.

  7. Final Notice 2022: MHM Plant Group Limited [pdf]

    Final notices Published: 18/11/2022
    This final notice (MHM Plant Group Limited) refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation.

  8. Final Notice 2024: Kulvir Virk [pdf]

    Final notices Published: 24/06/2024
    This Final Notice refers to breaches of PRIN 1 and PRIN 6 related to a failure to act with integrity and a failure to exercise due care, skill and diligence in the pensions sector. We imposed a financial penalty and a prohibition order.

  9. Final Notice 2019: Trevor Alan Oakley [pdf]

    Final notices Published: 12/10/2012 Last modified: 26/01/2021
    This final notice (Trevor Alan Oakley) refers to a failure to satisfy FIT criteria and demonstrate fitness and propriety, therefore the application (for authorisation) was refused.

  10. Final Notice 2021: Shaffarat Parvez [pdf]

    Final notices Published: 08/10/2021
    This Final Notice (Shaffarat Parvez) refers to a failure to satisfy the Fit and Proper Test (FIT). We imposed a prohibition.
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