About 3255 results.

1. Final Notice 2019: UBS AG [pdf]

   Final notices Published: 19/03/2019
   This final notice (UBS AG) refers to breaches of SUP 17, SUP 15 and PRIN 3 related to transaction reporting failures in the investment bank sector. We imposed a fine.

2. Final Notice 2019: Lewis Alexander Limited [pdf]

   Final notices Published: 15/03/2019
   This final notice refers to a failure to satisfy threshold conditions 2C (effective supervision), 2D (appropriate resources), and 2E (suitability) in the Consumer Credit: Debt Management sector. We imposed a refusal of the applicant’s Part 4A application.

3. Final Notice 2019: Indiemini Ltd [pdf]

   Final notices Published: 14/03/2019
   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.

4. Final Notice 2019: Phillips Motorcycles Limited [pdf]

   Final notices Published: 14/03/2019
   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.

5. Final Notice 2019: Highstone Car Company Limited [pdf]

   Final notices Published: 14/03/2019
   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 2019: The Carphone Warehouse Limited [pdf]

   Final notices Published: 13/03/2019
   This final notice (The Carphone Warehouse Limited) refers to breaches of PRIN 3, 6 and 9 related to mis-selling in the general insurance and protection sector. We imposed a fine.

7. Final Notice 2018: LBO France Gestion [pdf]

   Final notices Published: 05/03/2019
   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. We imposed a cancellation.

8. Final Notice 2019: Douglas Eynon [pdf]

   Final notices Published: 28/02/2019 Last modified: 28/02/2019
   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.

9. Final Notice 2019: Gary Nuttall [pdf]

   Final notices Published: 28/02/2019
   This final notice (Gary Nuttall) 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 2019: Shahidur Rahman Chowdhury [pdf]

    Final notices Published: 28/02/2019
    This final notice (Shahidur Rahman Chowdhury) 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.