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Final Notice 2021: Matthew Andrew Creed [pdf]
This Final Notice (Matthew Andrew Creed) refers to breaches of FIT by a financial adviser. We imposed a prohibition -
Final Notice 2021: Lloyds Bank General Insurance Limited, St Andrew’s Insurance Plc, Lloyds Bank Insurance Services Limited and Halifax General Insurance Services Limited [pdf]
This Final Notice (Lloyds Bank General Insurance Limited, St Andrew’s Insurance Plc, Lloyds Bank Insurance Services Limited and Halifax General Insurance Services Limited) refers to breaches of PRIN 3 and PRIN 7 related to communications with -
Final Notice 2021: Complete Solutions Group Limited [pdf]
This final notice refers to a failure to satisfy the Suitability Threshold Condition (COND) and a failure to notify the Authority of a change of contact details in the consumer credit sector. We imposed a cancellation. -
Final Notice 2021: Jamie Burgin (trading as Rivelin Motors) [pdf]
This final notice (Jamie Burgin (trading as Rivelin Motors)) 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 -
Final Notice 2021: Harrison Memorials Limited [pdf]
This final notice (Harrison Memorials Limited) 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 2021: Crosfill & Archer Claims Limited [pdf]
This Final Notice refers to breaches of breach of the Conduct of Authorised Persons Rules 2014 (“CAPR”) related to unfair treatment of customers in the claims management sector. We imposed a financial penalty. -
Final Notice 2021: Michael Milner (trading as Snap-On) [pdf]
This final notice 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 2021: Gedik International Ltd [pdf]
This final notice refers to a failure to satisfy the effective supervision and to appropriate resources threshold conditions (COND) in the wholesale brokerage sector. We refused the firm’s VOP application. -
Final Notice 2021: Whessoe Road Motor Company [pdf]
This final notice 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 2021: Ms Sherrie Jean Thackray [pdf]
Final Notice: Ms Sherrie Jean Thackray Conduct: Lack of fitness/propriety Breaches: PSR (Payment Services Regulations) Subject: Individual Outcome: Objection to change in control Sector: Payment Services