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Final Notice 2023: NMC Health Plc (in Administration) [pdf]
This Final Notice refers to breaches of Article 15 EU MAR related to disseminating false and misleading information regarding NMC’s debt positions. We publish a public censure. -
Final Notice 2023: Ray Alan Davis [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the General Insurance and Protection sector. We imposed a prohibition. -
Final Notice 2023: Mark Anthony Jensen [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2023: Geoffrey Edward Armin [pdf]
This Final Notice refers to breaches of Statements of Principle 2 and 7 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £200,000 is being made to -
Final Notice 2023: Almond and Chestnut Limited [pdf]
This Final Notices refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation. -
Final Notice 2023: Equifax Limited [pdf]
This Final Notice relates to the outsourcing of data processing to an intragroup entity which experienced a data breach. The Final Notice refers to risk management failings (Principle 3) and failings in relation to treating customers fairly and -
Final Notice 2023: London Capital & Finance plc (in administration) [pdf]
This Final Notice refers to breaches of CoBS related to financial promotions in the Issuer sector. We imposed a public censure. -
Final Notice 2023: Wellington Court Financial Services Limited [pdf]
This final notice (Wellington Court Financial Services Limited) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in relation to a firm within the TPR. We imposed a cancellation. -
Final Notice 2023: Simon Richard Hughes [pdf]
This Final Notice (Simon Richard Hughes) refers to breaches of APER 2, 6 and 7 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition and withdrawal. A payment of -
Final Notice 2023: Christopher Vincent Summers [pdf]
This Final Notice (Christopher Vincent Summers) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.