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  1. Final Notice 2019: Steven Hall [pdf]

    Final notices

    Published: 17/05/2019

    This final notice (Steven Hall) 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.

  2. Final Notice 2019: Philip Harold Woods [pdf]

    Final notices

    Published: 17/05/2019

    This final notice (Philip Harold Woods) 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.

  3. Final Notice 2019: Total Network Solutions (Europe) Limited [pdf]

    Final notices

    Published: 17/05/2019

    This final notice (Total Network Solutions (Europe) 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

  4. Final Notice 2019: Freddy David [pdf]

    Final notices

    Published: 15/05/2019

    This final notice refers to breaches of FIT related to financial crime (Freddy David), client money/assets and a lack of fitness and propriety in the investment adviser sector. We imposed a prohibition.

  5. Decision Notice: Aiden Henderson (Director of HCA) [pdf]

    Decision notices

    Published: 09/05/2019

    This decision notice (Aiden Henderson (Director of HCA)) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that

  6. Decision Notice: Robert Ward (Director of BHIM) [pdf]

    Decision notices

    Published: 09/05/2019

    This decision notice (Robert Ward (Director of BHIM) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that a

  7. Decision Notice: Financial Page Ltd (in liquidation) [pdf]

    Decision notices

    Published: 09/05/2019

    This decision notice (Financial Page Ltd (in liquidation)) refers to breaches of PRIN 1 and section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that a public

  8. Decision Notice: Thomas Ward (de facto director of FPL) [pdf]

    Decision notices

    Published: 09/05/2019

    This decision notice (Thomas Ward (de facto director of FPL)) refers to breaches of section 63A FSMA and FIT related to a lack of fitness/propriety in the investment adviser and pensions sector. Our view is that a prohibition and financial penalty

  9. Decision Notice: Tristan Freer (Director of BHIM) [pdf]

    Decision notices

    Published: 09/05/2019

    This decision notice (Tristan Freer (Director of BHIM)) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that

  10. Decision Notice: Henderson Carter Associates Limited (in liquidation) [pdf]

    Decision notices

    Published: 09/05/2019

    This decision notice (Henderson Carter Associates Limited (in liquidation)) refers to breaches of PRIN 1 and Section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is
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