Publications

Showing 541 to 550 of 3614 search results.

541. Final Notice 2020: Asia Research and Capital Management Ltd [pdf]

     Final notices

     Published: 14/10/2020

     Last modified: 14/10/2020

     This Final Notice refers to Asia Research and Capital Management’s failure to notify the FCA and disclose to the public its net short position in Premier Oil in breach of short selling disclosure rules. We have fined the firm £873,118.

542. Final Notice 2020: Peter Howson [pdf]

     Final notices

     Published: 12/10/2020

     Last modified: 12/10/2020

     This Final Notice (Peter Anthony Hoswon) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.

543. Final Notice 2020: John Butterfield [pdf]

     Final notices

     Published: 12/10/2020

     Last modified: 12/10/2020

     This Final Notice (John Leonard Butterfield) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.

544. Final Notice 2020: Andrew Wareing [pdf]

     Final notices

     Published: 01/10/2020

     This final notice (Andrew Wareing) 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.

545. Final Notice 2020: Lilia Pumfrett [pdf]

     Final notices

     Published: 01/10/2020

     This final notice (Lilia Pumfrett) 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.

546. Final Notice 2020: Cars77 Limited [pdf]

     Final notices

     Published: 01/10/2020

     This final notice (Cars77 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.

547. Final Notice 2020: Mr Balraj Bhalla [pdf]

     Final notices

     Published: 01/10/2020

     This final notice (Mr Balraj Bhalla) 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.

548. Final Notice 2020: Warrington Trading Limited [pdf]

     Final notices

     Published: 01/10/2020

     This final notice (Warrington Trading 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.

549. Final Notice 2020: AGK Cars and Son [pdf]

     Final notices

     Published: 01/10/2020

     Last modified: 01/10/2020

     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.

550. Final Notice 2020: Carl Brookes [pdf]

     Final notices

     Published: 30/09/2020

     Last modified: 30/09/2020

     This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.