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Final Notice 2021: Autolegend Ltd [pdf]
This final notice (Autolegend Ltd) 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: Rockin Vans Ltd [pdf]
This final notice (Rockin Vans Ltd) 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: Alsford Page & Gems Limited [pdf]
This Final Notice refers to breaches of PRIN 3 and PRIN 6 related to Appointed representative sales of extended warranty insurance products in the General Insurance and Protection sector. We imposed a public censure. -
Final Notice 2021: Simon John Varley [pdf]
This Final Notice refers to Section 63A FSMA and breaches relating to APER 1 and FIT relating to a lack of honesty and integrity in the investment advisory sector. We imposed a fine and a prohibition. -
Final Notice 2021: Hewden Stuart Limited [pdf]
This final notice (Hewden Stuart Limited) refers to a failure to satisfy the effective supervision threshold condition (COND) in the consumer credit sector. We imposed a cancellation. -
Final Notice 2021: Christopher Carey [pdf]
In this final notice, the Authority has refused the application on the basis that Mr Carey does not satisfy the Threshold Conditions in relation to all of the regulated activities for which he would have permission if the application was granted. -
Final Notice 2021: Carma Online Limited [pdf]
This final notice (Carma Online 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: Day DV Limited [pdf]
This final notice (Day DV 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: Capital Car Network Limited [pdf]
This final notice (Capital Car Network) 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: Mr Adrian Horn [pdf]
The Final Notice refers to breaches of MAR and FIT relating to Market Abuse in the Trading Firm sector. We imposed a Financial Penalty and Prohibition.