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Showing 11 to 20 of 6815 search results for final notice.

11. Final Notice 2022: Applicant A [pdf]

    Final notices Published: 13/05/2022
    This final notice refers to a failure to satisfy threshold conditions (COND) in the wholesale sector. We refused the firm’s application for authorisation.

12. Final Notice 2022: Robert Ward [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Robert Ward) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a prohibition and financial

13. FCA Final Notice 2014: Citibank N.A. [pdf]

    Final notices Published: 12/11/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

14. Final Notice 2018: Khalsa (Bradford) Credit Union Limited [pdf]

    Final notices Published: 29/03/2018
    This final notice refers to a cancellation of permission pursuant to exercising powers under section 55J of FSMA in the credit union sector.

15. Final Notice 2018: Polmaise Community Credit Union Limited [pdf]

    Final notices Published: 29/03/2018
    This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the credit union sector. We imposed a cancellation.

16. Final Notice 2015: Craig McNeil [pdf]

    Final notices Published: 22/09/2015 Last modified: 29/09/2015
    This final notice refers to breaches of APER 4 and APER 6, FIT, failing to be open and co-operative, lack of fitness/propriety and failing to act on information appropriately in the asset management sector. We imposed a fine and prohibition.

17. Final Notice 2019: Egcars [pdf]

    Final notices Published: 10/04/2019
    This final notice (Egcars) refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal of the applicant’s Part 4A application.

18. Final Notice 2018: L27 (Liverpool) Credit Union Limited [pdf]

    Final notices Published: 29/03/2018
    This final notice refers to a cancellation of permission pursuant to exercising powers under section 55J of FSMA in the credit union sector.

19. Final Notice 2022: Aiden Henderson [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Aiden Henderson) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. We imposed a prohibition and financial penalty.

20. Final Notice 2015: Quick Purchase [pdf]

    Final notices Published: 23/10/2015 Last modified: 23/10/2015
    This Final Notice refers to breaches of PRIN 6 and MCOB (Mortgage Conduct of Business Rules) related to unfair treatment of customers in the sale and rent back sector. We imposed a fine and redress.