Publications

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

Search results

Showing 51 to 60 of 3284 search results.

  1. Final Notice 2020: Covrall Limited [pdf]

    Final notices Published: 11/11/2020 Last modified: 11/11/2020
    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 and General Insurance Protection sector. We imposed a cancellation.
  2. Final Notice 2020: Ian Mackin (trading as Caledonia Finance) [pdf]

    Final notices Published: 11/11/2020 Last modified: 11/11/2020
    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, General Insurance Protection sector, Investment Advisory sector
  3. Final Notice 2020: Frank Cochran [pdf]

    Final notices Published: 05/11/2020
    This Final Notice (Frank Cochran) refers to breaches of FIT by a financial adviser. We imposed a prohibition.
  4. Final Notice 2020: Mark Horsey [pdf]

    Final notices Published: 05/11/2020
    This Final Notice (Mark Horsey) refers to breaches of FIT by a financial adviser. We imposed a prohibition.
  5. Final Notice 2020: Russell David Jameson [pdf]

    Final notices Published: 05/11/2020
    This Final Notice (Russell David Jameson) refers to breaches of FIT by a financial adviser. We imposed a prohibition.
  6. Final Notice 2020: Inter Claims Ltd [pdf]

    Final notices Published: 05/11/2020 Last modified: 05/11/2020
    This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation.
  7. Final Notice 2020: S M Motorhouse Ltd [pdf]

    Final notices Published: 28/10/2020 Last modified: 28/10/2020
    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 2020: Aviva plc [pdf]

    Final notices Published: 26/10/2020
    This Final Notice (Aviva plc) refers to breaches of Listing Rule 1.3.3R and Transparency Rule 1A.3.2R related to Listing rules/DTR breaches in the General Insurance and Protection sector. We issued a public censure.
  9. Final Notice 2020: Goldman Sachs International (GSI) [pdf]

    Final notices Published: 22/10/2020 Last modified: 22/10/2020
    This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to wholesale conduct in the investment bank sector. We imposed a financial penalty.
  10. Final Notice 2020: Newway Beauty Concept Limited [pdf]

    Final notices Published: 21/10/2020
    This final notice refers to a failure to satisfy the Effective Supervision Threshold Condition (COND) in the consumer credit sector. We imposed a cancellation.