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Showing 371 to 380 of 1294 search results for final notice refers to breaches of MAR.

  1. Final Notice 2017: Afzal Ali [pdf]

    Final notices Published: 05/01/2017
    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.

  2. Final Notice 2016: Tim Morse [pdf]

    Final notices Published: 16/12/2016 Last modified: 16/12/2016
    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.

  3. Final Notice 2023: Keith Dickinson [pdf]

    Final notices Published: 13/09/2023
    This Final Notice refers to breaches of APER 2 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition and public censure. A payment of £70,000 is being made to the FSCS

  4. Final notice 2016: Jonathan R Milnes [pdf]

    Final notices Published: 25/02/2016 Last modified: 25/02/2016
    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.

  5. Final notice 2016: Motoassist UK Limited [pdf]

    Final notices Published: 05/05/2016 Last modified: 05/05/2016
    This final notice refers to breaches of PRIN 11, failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  6. Final Notice 2017: David Samuel Watters [pdf]

    Final notices Published: 14/07/2017
    This final notice refers to breaches of APER 6 related to a lack of competence in the pensions sector.

  7. Final Notice 2017: HRS (Luton) Limited [pdf]

    Final notices Published: 02/05/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  8. Final Notice 2023: Ray Alan Davis [pdf]

    Final notices Published: 15/11/2023
    This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the General Insurance and Protection sector. We imposed a prohibition.

  9. Final notice 2016: Shay Jacob Reches [pdf]

    Final notices Published: 01/02/2016 Last modified: 01/02/2016
    This final notice refers to breaches of section 63A and FIT related to appointed representatives, failing to be open and co-operative, client money, lack of fitness/propriety and unfair treatment of customers in the general insurance and protection

  10. Final Notice 2023: Smilewise Limited [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.
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