Publications

Showing 1641 to 1650 of 3616 search results.

1641. FCA Final Notice 2015: Tiuta Plc [pdf]

      Final notices

      Published: 05/11/2015

      Last modified: 05/11/2015

      This Final Notice refers to breaches of PRIN 4, COND, MIPRU and IPRU-INV related to threshold conditions in the investment adviser sector. We imposed a cancellation.

1642. Final Notice 2015: Kudu Emerging Markets Limited [pdf]

      Final notices

      Published: 04/11/2015

      Last modified: 04/11/2015

      This Final Notice refers to breaches of PRIN 11 related to failing to be open and co-operative and threshold conditions in the Investment Adviser sector. We imposed a cancellation.

1643. Final Notice 2015: Auto Leasing UK Limited [pdf]

      Final notices

      Published: 04/11/2015

      Last modified: 04/11/2015

      This Final Notice refers to breaches of COND and CONC related to Threshold Conditions in the Consumer Credit sector. We imposed a refusal.

1644. Final Notice 2015: Andrew Peter Wilkins [pdf]

      Final notices

      Published: 27/10/2015

      Last modified: 27/10/2015

      This Final Notice refers to breaches of APER 6 related to unfair treatment of customers in the Investment Advisor sector. We imposed a fine.

1645. Final Notice 2015: Magnus Michael Peterson [pdf]

      Final notices

      Published: 26/10/2015

      Last modified: 26/10/2015

      This Final Notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition.

1646. Final Notice 2015: Quick Purchase [pdf]

      Final notices

      Published: 23/10/2015

      Last modified: 23/10/2015

      This Final Notice refers to breaches of PRIN 6 and MCOB (Mortgage Conduct of Business Rules) related to unfair treatment of customers in the sale and rent back sector. We imposed a fine and redress.

1647. Final Notice 2015: Steven Martin [pdf]

      Final notices

      Published: 23/10/2015

      Last modified: 23/10/2015

      This Final Notice refers to breaches of APER 6 and MCOB (Mortgage Conduct of Business Rules) related to unfair treatment of customers in the sale and rent back sector. We imposed a public censure and redress.

1648. Final Notice 2015: Kweku Mawuli Adoboli [pdf]

      Final notices

      Published: 16/10/2015

      Last modified: 16/10/2015

      This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment bank sector. We imposed a prohibition.

1649. Final Notice 2015: A A A Insurance Limited [pdf]

      Final notices

      Published: 12/10/2015

      Last modified: 12/10/2015

      This final notice refers to breaches of PRIN 11 related to Threshold Conditions and failing to be open and co-operative in the general insurance and protection. We imposed a cancellation.

1650. Final Notice 2015: Benbron Solutions Limited [pdf]

      Final notices

      Published: 12/10/2015

      Last modified: 12/10/2015

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