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Showing 151 to 160 of 4529 search results for final notice refers.

151. Final Notice 2015: Kevin Allen [pdf]

     Final notices Published: 09/06/2015 Last modified: 09/06/2015
     This final notice refers to breaches of APER 1 & FIT related to lack of fitness/propriety in the Mortgages sector. We imposed a prohibition and a public censure.

152. Final Notice 2016: Iain Strang [pdf]

     Final notices Published: 25/11/2016
     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.

153. Final Notice 2017: Mark Leaper [pdf]

     Final notices Published: 02/02/2017
     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.

154. Final Notice 2023: Jason Morrison [pdf]

     Final notices Published: 25/09/2023
     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.

155. Final Notice 2023: Keith Dickinson [pdf]

     Final notices Published: 13/09/2023
     This Final Notice refers to breaches of APER 2 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition and public censure. A payment of £70,000 is being made to the FSCS

156. Final Notice 2023: Gillian Sweeney [pdf]

     Final notices Published: 08/09/2023
     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.

157. FCA Final Notice 2014: Royal Bank of Scotland plc and National Westminster Bank Plc [pdf]

     Final notices Published: 27/08/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 2, PRIN 9, and MCOB related to mis-selling in the retail bank sector. We imposed a fine.

158. FCA Final Notice 2014: Mohsin Shahzad Khan [pdf]

     Final notices Published: 11/07/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.

159. Final notice 2016: Patrick Gray [pdf]

     Final notices Published: 09/06/2016 Last modified: 09/06/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

160. FCA Final Notice 2013: Derek Jones [pdf]

     Final notices Published: 29/04/2013 Last modified: 19/05/2015
     This final notice refers to breaches of APER 6 related to lack of fitness /propriety in the mortgage and consumer credit sector. We imposed a prohibition.