Publications

Filter results
Expand / Collapse
Filter by document type
Filter by year
Sort by:

Search results

Showing 91 to 100 of 3378 search results

  1. Final notice 2020: Elizabeth Marie Walker [pdf]

    Final notices Published: 21/02/2020
    This final notice (Elizabeth Marie Walker) refers to a candidate for approval to perform a controlled function. The candidate did not satisfy us that she met the competence and capability criteria of the FCA’s Fit and Proper Person Test. We refused the application.
  2. Final Notice 2020: Thames Auto Sales [pdf]

    Final notices Published: 19/02/2020
    This final notice (Thames Auto Sales) 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 2020: Spiral Cycles Limited [pdf]

    Final notices Published: 19/02/2020
    This final notice (Spiral Cycles Limited) 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. Second Supervisory Notice 2020: Rix Motor Company Limited [pdf]

    Supervisory notices Published: 18/02/2020
    Second Supervisory Notice for Rix Motor Company Limited (2020)
  5. Second Supervisory Notice 2020: Fortuna Wealth Management Limited [pdf]

    Supervisory notices Published: 18/02/2020
    This second supervisory notice refers to breaches of the supervision threshold conditions (COND) and to breaches of PRIN1 and PRIN11 related to lack of fitness/propriety and failing to be open and co-operative in the investment adviser sector. We imposed a suspension/restriction and redress.
  6. Final notice 2020: Moneybarn Limited [pdf]

    Final notices Published: 17/02/2020
    This final notice (Moneybarn Limited) refers to breaches of PRIN 6, PRIN 7 and the CONC rules related to the unfair treatment of customers in the consumer credit sector. We imposed a financial penalty.
  7. Final Notice 2020: Sukhvir Tiwana [pdf]

    Final notices Published: 12/02/2020
    This final notice (Sukhvir Tiwana) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.
  8. Final Notice 2020: John Richards [pdf]

    Final notices Published: 12/02/2020
    This final notice (John Richards) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.
  9. Final Notice 2020: Paul Michael Grant [pdf]

    Final notices Published: 12/02/2020
    This final notice (Paul Michael Grant) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.
  10. Final Notice 2020: Andrew Maurice Blunt [pdf]

    Final notices Published: 12/02/2020
    This final notice (Andrew Maurice Blunt) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.