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Showing 571 to 580 of 590 search results for final notice refers to a failure to satisfy the Effective.

  1. Final Notice 2023: Richard John Hamilton (Trading as Hamilton Motors and Richard H Hamilton Car Sales) [pdf]

    Final notices Published: 19/05/2023
    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

  2. Final Notice 2018: R M H Financial Services (Robert Michael Hulme trading as) [pdf]

    Final notices Published: 03/07/2018
    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 investment advisory sector, mortgage lenders and intermediaries sector and General

  3. Cenkos Securities fined for failure to maintain the high standards required of a firm providing Sponsor Services

    Press Releases Published: 09/08/2016 Last modified: 06/03/2017
    The Financial Conduct Authority (FCA) has today fined Cenkos Securities plc (Cenkos) £530,500 for failures in its sponsor services business.  Cenkos failed to have appropriate systems and controls in place across its sponsor services business, and,

  4. FCA cancels payday lender’s interim permission, bans director and refuses application to conduct regulated business

    Press Releases Published: 13/10/2016 Last modified: 13/10/2016
    The Financial Conduct Authority (FCA) has banned Andrew Barry Hart, the sole director, controller and ultimate owner of Wage Payment and Payday Loans Limited (WPPL), from performing any role in regulated financial services. The FCA has also

  5. FCA and PRA publish final changes to enhance enforcement decision-making processes

    Press Releases Published: 01/02/2017 Last modified: 04/11/2019
    The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have today published final changes in a Policy Statement (PS) aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes

  6. FCA publishes decision notices against One Call Insurance Services Limited and John Lawrence Radford

    Press Releases Published: 26/01/2018 Last modified: 26/01/2018
    The Financial Conduct Authority has today published Decision Notices in respect of One Call Insurance Services Limited (One Call) and its Chief Executive and majority shareholder John Lawrence Radford.

  7. Upper Tribunal publishes decision on Linear Investments Limited in relation to penalty imposed by FCA

    Press Releases Published: 10/04/2019 Last modified: 10/04/2019
    The Upper Tribunal has published its decision on the reference made by Linear Investments Limited (Linear) in relation to the penalty imposed by the Financial Conduct Authority (FCA).

  8. Speech: Beyond economics?

    Insight Published: 25/01/2017 Last modified: 28/02/2017
    Our occasional papers such as No. 12 on showing the prior premium on insurance renewal notices and No. ... scope for improvements, for example through correcting market failures to empower the process of competition.

  9. The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer

    Press Releases Published: 03/10/2013 Last modified: 07/02/2022
    he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010.

  10. Business Plan 2022/23

    Business plans Published: 07/04/2022 Last modified: 27/04/2022
    The FCA Business Plan details the work we'll do over the next 12 months to help deliver the commitments in our Strategy.