Publications

Showing 1621 to 1630 of 3616 search results.

1621. Final notice 2016: Lynda Jayne Croome [pdf]

      Final notices

      Published: 08/01/2016

      Last modified: 08/01/2016

      This final notice refers to the Authority’s objection to an acquisition under section 186 (a) FSMA based on an assessment made in accordance with section 185 FSMA that the acquirer lacked suitability.

1622. Final notice 2016: Knight Home Improvements Limited [pdf]

      Final notices

      Published: 08/01/2016

      Last modified: 08/01/2016

      This final notice 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.

1623. Final notice 2015: Vroni O'Brien [pdf]

      Final notices

      Published: 17/12/2015

      Last modified: 17/12/2015

      This final notice refers to breaches of APER 2, APER 7, FIT and CASS related to a lack of fitness/propriety, client money/assets and failing to act on information appropriately in the general insurance and protection sector. We imposed a fine and

1624. Final notice 2015: Simon Mark Silva-Peake [pdf]

      Final notices

      Published: 16/12/2015

      Last modified: 16/12/2015

      This final notice refers to breaches of FIT related to a lack of fitness/propriety, client money/assets and unfair treatment of customers in the investment adviser sector. We imposed a prohibition.

1625. Final notice 2015: Threadneedle Asset Management Limited [pdf]

      Final notices

      Published: 15/12/2015

      Last modified: 15/12/2015

      This final notice concerns an asset management sector firm’s breach of PRIN 3 for failing to put in place adequate controls in the fixed income area of its front office and PRIN 11 for providing inaccurate information to the regulator and for

1626. Final Notice 2015: Paivi Grigg [pdf]

      Final notices

      Published: 11/12/2015

      Last modified: 17/12/2015

      This final notice refers to breaches of APER 6 related to appointed representatives, culture/governance and unfair treatment of customers in the investment adviser sector . We imposed a fine.

1627. Final Notice 2015: Craig Anthony Welborn [pdf]

      Final notices

      Published: 09/12/2015

      Last modified: 09/12/2015

      This final notice refers to breaches of COND and TC related to failing to be open and co-operativein the consumer credit sector. We imposed a refusal.

1628. Final notice 2015: Big T Media Limited [pdf]

      Final notices

      Published: 08/12/2015

      Last modified: 08/12/2015

      The final notice refers to breaches of COND, CONC, PRIN 11, CASS, SYSC related to threshold conditions and failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

1629. Final notice 2015: Carbon Reduction Group Limited [pdf]

      Final notices

      Published: 30/11/2015

      Last modified: 30/11/2015

      This final notice refers to breaches of COND and CONC related to threshold conditions in the consumer credit sector. We imposed a refusal.

1630. Final notice 2015: Oaklands Courier Limited [pdf]

      Final notices

      Published: 26/11/2015

      Last modified: 26/11/2015

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