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Showing 291 to 300 of 3136 search results for This Final Notice refers.

  1. FCA Final Notice 2013: Christopher Willford [pdf]

    Final notices Published: 12/12/2013 Last modified: 07/04/2015
    This final notice refers to breaches of APER 6 related to failing to act on information appropriately in the retail banks sector. We imposed a fine.

  2. Final Notice 2019: Mark Dobson [pdf]

    Final notices Published: 21/06/2019
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the retail banking sector. We imposed a prohibition.

  3. Final Notice 2018: Barot Bros (Bhupatsinh Barot trading as) [pdf]

    Final notices Published: 21/09/2018
    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.

  4. Final Notice 2019: Shaun Rowe [pdf]

    Final notices Published: 09/01/2020
    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.

  5. Final Notice 2018: Gary Lea Whitlock [pdf]

    Final notices Published: 26/06/2018
    This final

  6. Final Notice 2015: A A A Insurance Limited [pdf]

    Final notices Published: 12/10/2015 Last modified: 12/10/2015
    This final notice refers to breaches of PRIN 11 related to Threshold Conditions and failing to be open and co-operative in the general insurance and protection. We imposed a cancellation.

  7. Final notice 2016: Rivington Bikes 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.

  8. Final Notice 2020: Shruti Patel aka Cindy Brad [pdf]

    Final notices Published: 09/12/2020 Last modified: 09/12/2020
    This Final Notice refers to breaches of FIT by an unapproved mortgage advisor. We imposed a prohibition.

  9. Final notice 2016: Gethin Car Sales [pdf]

    Final notices Published: 14/06/2016 Last modified: 15/06/2016
    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

  10. Final Notice 2018: Alan Taylor [pdf]

    Final notices Published: 14/11/2018
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.
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