Publications
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Final Notice 2024: Ari Harris [pdf]
This Final Notice (Ari Harris) refers to breaches of FIT related to a lack of fitness/propriety. We imposed a prohibition and withdrawal of approval. -
Final Notice 2024: Reeds Motors Ltd [pdf]
This Final Notice (Reeds Motors Ltd) refers to breaches of COND. We imposed a cancellation of Part 4A permissions. -
Final Notice 2024: Craig Buchan [pdf]
This Final Notice (Craig Buchan) refers to breaches of COCON 2.2.1R related to failing to act with integrity in the Investment Adviser sector. We imposed a financial penalty and prohibition. -
Final Notice 2024: Martin Paul Cooke [pdf]
This Final Notice (Martin Paul Cooke) refers to breaches of COCON 2.2.1R related to failing to act with integrity in the Investment Adviser sector. We imposed a financial penalty and prohibition. -
Final Notice 2024: Metro Bank plc [pdf]
This Final Notice (Metro Bank plc) refers to breaches of PRIN 3 and associated SYSC rules relating to a lack of systems and controls concerning financial crime in the Retail Bank sector. We imposed a financial penalty. -
Final Notice 2024: Leigh Mackey [pdf]
This Final Notice (Leigh Mackey) refers to breaches of APER 1, APER 4 and COCON related to failing to act with integrity and failing to be open and co-operative in the General Insurance and Protection sector. We imposed a financial penalty and -
Final Notice 2024: Rashid Akhtar United Commercial Trading [pdf]
This Final Notice refers to an application to annul the Authority’s decision to cancel a firm’s Part 4A permission. We refused the application. -
Final Notice 2024: Paul Adams [pdf]
This Final Notice refers to breaches of APER 6 and APER 7 related to a failure to provide suitable pension transfer advice to defined benefit pension customers. -
Final Notice 2024: Steven Lawrence Hodgson [pdf]
This Final Notice refers to breaches of APER 2 and APER 7 related to a failure to provide suitable pension transfer advice to defined benefit pension customers. -
Final Notice 2024: Kristo Käärmann [pdf]
This Final Notice refers to a breach of COCON 2.2.4R SC4, related to Kristo Käärmann’s failure to disclose appropriately information to the Authority. We imposed a financial penalty.