Publications

Showing 1651 to 1660 of 3616 search results.

1651. Final Notice 2015: John Joseph Financial Services Limited [pdf]

      Final notices

      Published: 30/09/2015

      Last modified: 06/10/2015

      This final notice refers to breaches of PRIN 9, SYSC, COB and COBS related to mis-selling in the investment adviser sector. We imposed a fine.

1652. Final Notice 2015: Craig McNeil [pdf]

      Final notices

      Published: 22/09/2015

      Last modified: 29/09/2015

      This final notice refers to breaches of APER 4 and APER 6, FIT, failing to be open and co-operative, lack of fitness/propriety and failing to act on information appropriately in the asset management sector. We imposed a fine and prohibition.

1653. Final Notice 2015: Merlin Loans and Mortgages Limited [pdf]

      Final notices

      Published: 14/09/2015

      Last modified: 14/09/2015

      This final notice refers to breaches of PRIN 6, PRIN 11, DISP and COND related to threshold conditions, failing to be open and co-operative, and unfair treatment of customers in the consumer credit sector. We imposed a cancellation.

1654. Final Notice 2015: Ralph Whittington [pdf]

      Final notices

      Published: 10/09/2015

      Last modified: 10/09/2015

      This final notice refers to breaches of APER 1 and FIT related to lack of fitness/propriety, client money/assets and insurance fraud in the general insurance and protection sector. We imposed a fine, prohibition, and withdrawal.

1655. Final Notice 2015: B E Insulated Limited [pdf]

      Final notices

      Published: 04/09/2015

      Last modified: 04/09/2015

      This final notice refers to breaches of COND and CONC related to failing to be open and co-operative in the Consumer Credit sector. We imposed a refusal.

1656. Final Notice 2015: CVS Technologies Limited [pdf]

      Final notices

      Published: 03/09/2015

      Last modified: 03/09/2015

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

1657. Final Notice 2015: Gamma Transfers (UK) Limited [pdf]

      Final notices

      Published: 03/09/2015

      Last modified: 03/09/2015

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

1658. Final Notice 2015: Diane Hunter t/a Village Autocare [pdf]

      Final notices

      Published: 02/09/2015

      Last modified: 02/09/2015

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

1659. Final Notice 2015: Neil Moir trading as ‘Readymoney’ [pdf]

      Final notices

      Published: 26/08/2015

      Last modified: 26/08/2015

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

1660. Final Notice 2015: Mark Cleaver [pdf]

      Final notices

      Published: 20/08/2015

      Last modified: 03/09/2015

      This final notice refers to breaches of COND, related to threshold conditions and failing to be open and co-operative in the general insurance intermediary sector. We imposed a cancellation.