Publications

Showing 981 to 990 of 3614 search results.

981. Final Notice 2018: Alistair Rae Burns [pdf]

     Final notices

     Published: 20/09/2018

     This Final Notice refers to breaches of APER 7 and FIT related to conflicts of interest, a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. We imposed a fine and a prohibition.

982. Final Notice 2018: Christian Bittar [pdf]

     Final notices

     Published: 14/09/2018

     This final notice refers to knowing concern in breaches of Principle 5 related to benchmark submissions. We imposed a prohibition.

983. Final Notice 2018: John Lawrence Radford [pdf]

     Final notices

     Published: 30/08/2018

     This final notice refers to breaches of APER 6, APER 7 and CASS relating to client money/assets and lack of fitness/propriety in the general insurance and protection sector. We imposed a fine and prohibition.

984. Final Notice 2018: One Call Insurance Services Limited [pdf]

     Final notices

     Published: 30/08/2018

     This final notice refers to breaches of PRIN 10 and CASS relating to client money/assets in the general insurance and protection sector. We imposed a fine and restriction.

985. Final Notice 2018: Nicholas Newson [pdf]

     Final notices

     Published: 24/08/2018

     This FCA final notice (Nicholas Newson) 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.

986. Final Notice 2018: Robert Scott [pdf]

     Final notices

     Published: 24/08/2018

     This FCA final notice (Robert Scott) 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.

987. Final Notice 2018: James Lewis [pdf]

     Final notices

     Published: 24/08/2018

     This FCA final notice (James Lewis) 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.

988. Final Notice 2018: Juan Carlos Esposito [pdf]

     Final notices

     Published: 24/08/2018

     This FCA final notice (Juan Carlos Esposito) 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.

989. Final Notice 2018: Lee Brian Stanyer [pdf]

     Final notices

     Published: 24/08/2018

     This FCA final notice (Lee Brian Stanyer) 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.

990. Final Notice 2018: Christopher John Huskinson [pdf]

     Final notices

     Published: 24/08/2018

     This FCA final notice (Christopher John Huskinson) 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.