Publications

Showing 1601 to 1610 of 3616 search results.

1601. Final notice 2016: W H Ireland Limited [pdf]

      Final notices

      Published: 23/02/2016

      Last modified: 23/02/2016

      This final notice refers to breaches of PRIN 3 and SYSC related to market protection, culture/governance and conflicts of interest in the wealth management and private banking sector. We imposed a fine and restriction.

1602. Final notice 2016: Cross Keys Estate & Finance Limited [pdf]

      Final notices

      Published: 22/02/2016

      Last modified: 22/02/2016

      This final notice refers to breaches of COND and TC related to Threshold Conditions and lack of fitness and propriety in the Consumer Credit sector. We imposed a refusal.

1603. Final notice 2016: Achilles Macris [pdf]

      Final notices

      Published: 09/02/2016

      Last modified: 09/02/2016

      The case concerns breaches of APER 4 related to Mr Macris’ failure to deal with the Authority in an open and cooperative way. We also imposed a financial penalty on Mr Macris.

1604. Final notice 2016: Shay Jacob Reches [pdf]

      Final notices

      Published: 01/02/2016

      Last modified: 01/02/2016

      This final notice refers to breaches of section 63A and FIT related to appointed representatives, failing to be open and co-operative, client money, lack of fitness/propriety and unfair treatment of customers in the general insurance and protection

1605. Final notice 2016: Colin J McIntosh [pdf]

      Final notices

      Published: 01/02/2016

      Last modified: 01/02/2016

      This final notice refers to breaches of APER 1, APER 4, APER 7, FIT and CASS related to appointed representatives, client money, failing to act on information appropriately, failing to be open and co-operative, lack of fitness/propriety and unfair

1606. Final notice 2016: Coverall Worldwide Ltd [pdf]

      Final notices

      Published: 01/02/2016

      Last modified: 01/02/2016

      This final notice refers to breaches of PRIN 1, PRIN 3, PRIN 10, CASS and COND related to appointed representatives, client money, failing to act on information appropriately, threshold conditions and unfair treatment of customers in the general

1607. Final notice 2016: Andrea Christine Sadler [pdf]

      Final notices

      Published: 01/02/2016

      Last modified: 01/02/2016

      This final notice refers to breaches of APER 6 and FIT related to appointed representatives, client money, failing to act on information appropriately, lack of fitness/propriety and unfair treatment of customers in the general insurance and

1608. Final notice 2016: Wayne Anthony Redgrave [pdf]

      Final notices

      Published: 01/02/2016

      Last modified: 01/02/2016

      This final notice refers to breaches of APER 6 and ICOBS related to appointed representatives, failing to act on information appropriately and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

1609. Final notice 2016: Bar Professions Limited (in liquidation) [pdf]

      Final notices

      Published: 01/02/2016

      Last modified: 01/02/2016

      This final notice refers to breaches of PRIN 2, PRIN 7 and ICOBS related to appointed representatives and failing to act on information appropriately in the general insurance and protection sector. We imposed a public censure.

1610. Final notice 2016: Robert John Bygrave [pdf]

      Final notices

      Published: 01/02/2016

      Last modified: 01/02/2016

      This final notice refers to breaches of APER 6, FIT and CASS related to appointed representatives, failing to act on information appropriately, client money, lack of fitness/propriety and unfair treatment of customers in the general insurance and