Publications

Showing 371 to 380 of 3614 search results.

371. Final Notice 2022: Stuart Rea [pdf]

     Final notices

     Published: 28/04/2022

     This Final Notice (Stuart Rea) refers to breaches of FIT. We imposed a prohibition.

372. Final Notice 2022: Michael Mendonca Nascimento [pdf]

     Final notices

     Published: 28/04/2022

     This Final Notice (Michael Mendonca Nascimento) refers to breaches of FIT. We imposed a prohibition.

373. Final Notice 2022: Twist and Scoot Ltd [pdf]

     Final notices

     Published: 14/04/2022

     This final notice refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation.

374. Final Notice 2022: D T Cars & Commercials Ltd [pdf]

     Final notices

     Published: 13/04/2022

     This final notice (D T Cars & Commercials Ltd) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the credit broking sector. We refused the firm’s application for authorisation.

375. Final Notice 2022: Trade Motor Sales and Repairs Ltd [pdf]

     Final notices

     Published: 13/04/2022

     This final notice refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation.

376. Final Notice 2022: Andrew Roy Brooke [pdf]

     Final notices

     Published: 06/04/2022

     This Final Notice (Andrew Roy Brooke) refers to breaches of FIT. We imposed a prohibition.

377. Final Notice 2022: Frensham Wealth Limited [pdf]

     Final notices

     Published: 01/04/2022

     For the reasons given in this Final Notice, and pursuant to section 55J of the Act, the Authority has decided to cancel the Part 4A permission of Frensham Wealth Limited.

378. Final Notice 2022: Timothy Haywood [pdf]

     Final notices

     Published: 30/03/2022

     The Final Notice refers to breaches of APER 2 and 7 related to the management of conflicts of interest in the asset management sector. We imposed a financial penalty.

379. Final Notice 2022: GAM International Management Limited [pdf]

     Final notices

     Published: 30/03/2022

     The Final Notice refers to breaches of PRIN 2 and 8 related to the management of conflicts of interest in the asset management sector. We imposed a financial penalty.

380. Final Notice 2022: Green Energy Together Limited [pdf]

     Final notices

     Published: 29/03/2022

     This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the credit broking sector. We refused the firm’s application for authorisation.