FSA Annual Report 2006/07 - Better Regulation Ltd

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140 Section six – Appendices Appendix 5 Section six – Appendices Appendix 5 141 Name on Final Notice Issue Date case Date Action Outcome Financial opened Final Notice against firm/ penalty issued individual? £ Mary MacKellar trading as Mary MacKellar Insurance Services Fitness & Propriety Issues/Threshold Conditions – RMAR 02/03/2006 06/07/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Paul Crawford Motors Fitness & Propriety Issues/Threshold Conditions – RMAR 02/03/2006 06/07/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Premium Finance Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 02/03/2006 06/07/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Western Devices Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 02/03/2006 06/07/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions William Reid trading as Cordner Reid and Company Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/2006 06/07/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Barnes Insurance Services Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/2006 28/06/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Peter Wood and Associates Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/2006 28/06/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Rainbow Homeloans Limited Systems & Controls 24/11/2005 26/06/2006 FIRM Financial Penalty 35,000 Khalid Yasien trading as Khalid Fitness & Propriety Issues/Threshold Conditions 17/02/2006 22/06/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Douglas Cronshaw Incorporating Crossleys Insurance Consultants Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/2006 21/06/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Money Matters Financial Services LLP Fitness & Propriety Issues/Threshold Conditions 17/02/2006 22/06/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Douglas Lyons & Lyons trading as DLL Lettings Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/2006 15/06/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Cowplain Car Centre Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/2006 13/06/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Haymarket & City Consulting Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/2006 13/06/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Invicta Car and Finance Centre Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/2006 13/06/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Simply Kitchens Direct Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 06/01/2006 13/06/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Joseph Quartson trading as Quartson & Co Fitness & Propriety Issues/Threshold Conditions 08/02/2006 05/06/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Donald Whiteford trading as Equity Finance Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/2006 31/05/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Edward Harding trading as Bond Services Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/2006 31/05/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Ka & Ap Raine trading as Dragon Motors Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/2006 31/05/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Keith Robert Anderson trading as Moira Autocentre Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/2006 31/05/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Paul James Mundy trading as Paul Mundy Mortgages Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/2006 31/05/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Premier Insurance Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/2006 31/05/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Reece Associates Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/2006 31/05/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Roundbush Body and Paint Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/2006 31/05/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions RS Cars (RG) Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/2006 31/05/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions The Money Management Centre Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/2006 31/05/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Wtr Car Sales Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/2006 31/05/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions E H Morgan & Son (Cirencester) Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 01/12/2005 25/05/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Dan Davidson (Ballymena) Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 06/01/2006 23/05/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Lansdown Properties Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 06/01/2006 23/05/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Ivory Armstrong Douglas Limited Fitness & Propriety Issues/Threshold Conditions 14/12/2005 22/05/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Charles Rollin trading as Greenhow & Company Fitness & Propriety Issues/Threshold Conditions 08/12/2005 19/05/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Octopus Mortgages Limited Fitness & Propriety Issues/Threshold Conditions 14/12/2005 19/05/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Commercial Direct Limited Fitness & Propriety Issues/Threshold Conditions 05/01/2006 15/05/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions The High Street Mortgage Company Fitness & Propriety Issues/Threshold Conditions 08/11/2005 15/05/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions
142 Section six – Appendices Appendix 5 Section six – Appendices Appendix 5 143 Name on Final Notice Issue Date case Date Action Outcome Financial opened Final Notice against firm/ penalty issued individual? £ Eileen Hayes trading as E Hayes Car Sales Fitness & Propriety Issues/Threshold Conditions – RMAR 06/01/2006 10/05/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Mark Cooper Garages Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 06/01/2006 10/05/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Maurice Lynn Motors Fitness & Propriety Issues/Threshold Conditions – RMAR 06/01/2006 10/05/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Middleton Financial Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 06/01/2006 10/05/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Peter Swatton trading as Abacus Accomodation Fitness & Propriety Issues/Threshold Conditions – RMAR 06/01/2006 10/05/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Dr Albert Alphonso Carlyle Waite Fitness & Propriety Issues/Threshold Conditions 11/08/2003 03/05/2006 INDIVIDUAL Prohibition The London Adventist Credit Union Limited Fitness & Propriety Issues/Threshold Conditions 11/08/2003 03/05/2006 FIRM Public Censure Besso Limited Financial Crime 14/11/2005 26/04/2006 FIRM Financial Penalty 20,000 Kumar Venkat trading as Gemini Connections Fitness & Propriety Issues/Threshold Conditions 08/12/2005 25/04/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Accident Legal Group Limited Fitness & Propriety Issues/Threshold Conditions 08/12/2005 24/04/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Watts, Paul trading as Friendly Finance Fitness & Propriety Issues/Threshold Conditions 17/01/2006 24/04/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Total Fleet Management Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 01/12/2005 20/04/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Easylife (UK) Limited Fitness & Propriety Issues/Threshold Conditions 14/12/2005 18/04/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Ideal Solutions NE Limited Fitness & Propriety Issues/Threshold Conditions 08/12/2005 18/04/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions WeSearch Mortgages Limited Fitness & Propriety Issues/Threshold Conditions 08/12/2005 18/04/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Appleby Insurance Services Limited Fitness & Propriety Issues/Threshold Conditions 08/12/2005 13/04/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Cornelius McGee trading as McGee Lindsay and Company Fitness & Propriety Issues/Threshold Conditions 10/11/2005 13/04/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Joseph Dantzic trading as Talk Finance Fitness & Propriety Issues/Threshold Conditions 08/12/2005 13/04/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions David John Maslen Market Protection 11/08/2004 10/04/2006 INDIVIDUAL Financial Penalty 350,000 Deutsche Bank AG Market Protection 11/08/2004 10/04/2006 FIRM Financial Penalty 6,363,643 Paul Andrew Tebbutt Fitness & Propriety Issues/Threshold Conditions 04/11/2004 10/04/2006 INDIVIDUAL Financial Penalty 35,000 Royal Liver Assurance Limited Selling 31/01/2005 06/04/2006 FIRM Financial Penalty 550,000 Clamare Legal Indemnity Limited Fitness & Propriety Issues/Threshold Conditions 08/11/2005 05/04/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Just Taxis Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 05/12/2005 05/04/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Kevin Mollart Fitness & Propriety Issues/Threshold Conditions 08/12/2005 05/04/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions Modiu Bakare trading as MBA Property and Financial Services Fitness & Propriety Issues/Threshold Conditions 08/11/2005 05/04/2006 FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions
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Financ ial Ser v ices Author it y A
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4 Financial Services Authority Annu
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Chairman’s statement FSA Annual R
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Chief Executive’s report FSA Annu
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Chief Executive’s report FSA Annu
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Section one - Promoting efficient,
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38 Section three - Improving our bu
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54 Section five - The Board of the
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56 Section five - Report of the Dir
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58 Section five - Report of the Dir
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68 Section five - Report of the ind
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FSA Annual Report 2006/07 - Better Regulation Ltd

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