Publications

Showing 1551 to 1560 of 3616 search results.

1551. Final notice 2016: Sunrise Brokers LLP [pdf]

      Final notices

      Published: 13/06/2016

      Last modified: 13/06/2016

      This final notice refers to a candidate for approval to perform controlled functions. The applicant firm and candidate did not provide sufficient information to satisfy us that the candidate met the honesty, integrity and reputation criteria of the

1552. Final notice 2016: Vehicle Supermarket of Leicester Limited [pdf]

      Final notices

      Published: 13/06/2016

      Last modified: 13/06/2016

      This final notice refers to breaches of PRIN 11 and COND, failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

1553. 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.

1554. Final notice 2016: Mark Kelly [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.

1555. Final notice 2016: Ashbank Cars [pdf]

      Final notices

      Published: 02/06/2016

      Last modified: 02/06/2016

      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.

1556. Final notice 2016: Independent Family Advisers Limited [pdf]

      Final notices

      Published: 02/06/2016

      Last modified: 02/06/2016

      This final notice refers to an application for authorisation of Independent Family Advisers Limited. The proposals made in support of the application had the hallmarks of what is sometimes described as “phoenixing”. We refused the application as

1557. Final notice 2016: CT Capital Limited [pdf]

      Final notices

      Published: 01/06/2016

      Last modified: 01/06/2016

      This final notice refers to breaches of PRIN 3 and PRIN 6 related to complaints-handling and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

1558. Final notice 2016: Quick Pay Forex Limited [pdf]

      Final notices

      Published: 27/05/2016

      Last modified: 27/05/2016

      This final notice refers to breaches of PSR related to failing to be open and co-operative and payment services regulations in the payment services sector. We imposed a cancellation.

1559. Final notice 2016: Peter Francis Johnson [pdf]

      Final notices

      Published: 19/05/2016

      Last modified: 19/05/2016

      This final notice refers to breaches of APER 1, APER 4 and FIT related to failing to be open and co-operative, failing to act on information appropriately, a lack of fitness/propriety and mis-selling in the asset management sector. We imposed a

1560. Final notice 2016: Mark Samuel Taylor [pdf]

      Final notices

      Published: 13/05/2016

      Last modified: 13/05/2016

      This final notice refers to breaches of FIT as well as section 118(2) Financial Services and Markets Act 2000, related to market abuse and a lack of fitness/propriety in the wealth management and private banking sector. We imposed a fine and