Publications

Showing 10551 to 10560 of 18845 search results.

10551. Advice on Pension Transfers (CP17/16 and PS18/6) [pdf]

       Impact assessments

       Published: 06/09/2018

10552. The FCA’s response to the Complaints Commissioner’s Report FCA00474 [pdf]

       Corporate documents

       Published: 04/09/2018

10553. Final Notice 2018: John Lawrence Radford [pdf]

       Final notices

       Published: 30/08/2018

       This final notice refers to breaches of APER 6, APER 7 and CASS relating to client money/assets and lack of fitness/propriety in the general insurance and protection sector. We imposed a fine and prohibition.

10554. Final Notice 2018: One Call Insurance Services Limited [pdf]

       Final notices

       Published: 30/08/2018

       This final notice refers to breaches of PRIN 10 and CASS relating to client money/assets in the general insurance and protection sector. We imposed a fine and restriction.

10555. Final Notice 2018: Nicholas Newson [pdf]

       Final notices

       Published: 24/08/2018

       This FCA final notice (Nicholas Newson) 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.

10556. Final Notice 2018: Robert Scott [pdf]

       Final notices

       Published: 24/08/2018

       This FCA final notice (Robert Scott) 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.

10557. Final Notice 2018: James Lewis [pdf]

       Final notices

       Published: 24/08/2018

       This FCA final notice (James Lewis) 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.

10558. Final Notice 2018: Juan Carlos Esposito [pdf]

       Final notices

       Published: 24/08/2018

       This FCA final notice (Juan Carlos Esposito) 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.

10559. Final Notice 2018: Lee Brian Stanyer [pdf]

       Final notices

       Published: 24/08/2018

       This FCA final notice (Lee Brian Stanyer) 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.

10560. Final Notice 2018: Christopher John Huskinson [pdf]

       Final notices

       Published: 24/08/2018

       This FCA final notice (Christopher John Huskinson) 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.