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Showing 71 to 80 of 3524 search results.

  1. Final Notice 2020: John Butterfield [pdf]

    Final notices Published: 12/10/2020 Last modified: 12/10/2020
    This Final Notice (John Leonard Butterfield) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.

  2. Final Notice 2020: Peter Howson [pdf]

    Final notices Published: 12/10/2020 Last modified: 12/10/2020
    This Final Notice (Peter Anthony Hoswon) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.

  3. Final Notice 2020: Andrew Wareing [pdf]

    Final notices Published: 01/10/2020
    This final notice (Andrew Wareing) 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 2020: Lilia Pumfrett [pdf]

    Final notices Published: 01/10/2020
    This final notice (Lilia Pumfrett) 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 2020: Cars77 Limited [pdf]

    Final notices Published: 01/10/2020
    This final notice (Cars77 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.

  6. Final Notice 2020: Warrington Trading Limited [pdf]

    Final notices Published: 01/10/2020
    This final notice (Warrington Trading 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.

  7. Final Notice 2020: Mr Balraj Bhalla [pdf]

    Final notices Published: 01/10/2020
    This final notice (Mr Balraj Bhalla) 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.

  8. Final Notice 2020: AGK Cars and Son [pdf]

    Final notices Published: 01/10/2020 Last modified: 01/10/2020
    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. We imposed a cancellation.

  9. Final Notice 2020: Carl Brookes [pdf]

    Final notices Published: 30/09/2020 Last modified: 30/09/2020
    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.

  10. Final Notice 2020: E-Cars Trading Limited [pdf]

    Final notices Published: 30/09/2020 Last modified: 30/09/2020
    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.