FSA Annual Report 2006/07 - Better Regulation Ltd
FSA Annual Report 2006/07 - Better Regulation Ltd
FSA Annual Report 2006/07 - Better Regulation Ltd
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140<br />
Section six – Appendices<br />
Appendix 5<br />
Section six – Appendices<br />
Appendix 5<br />
141<br />
Name on Final Notice Issue Date case Date Action Outcome Financial<br />
opened Final Notice against firm/ penalty<br />
issued individual? £<br />
Mary MacKellar trading as Mary MacKellar Insurance Services Fitness & Propriety Issues/Threshold Conditions – RMAR 02/03/<strong>2006</strong> 06/<strong>07</strong>/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Paul Crawford Motors Fitness & Propriety Issues/Threshold Conditions – RMAR 02/03/<strong>2006</strong> 06/<strong>07</strong>/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Premium Finance Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 02/03/<strong>2006</strong> 06/<strong>07</strong>/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Western Devices Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 02/03/<strong>2006</strong> 06/<strong>07</strong>/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
William Reid trading as Cordner Reid and Company Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/<strong>2006</strong> 06/<strong>07</strong>/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Barnes Insurance Services Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/<strong>2006</strong> 28/06/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Peter Wood and Associates Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/<strong>2006</strong> 28/06/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Rainbow Homeloans Limited Systems & Controls 24/11/2005 26/06/<strong>2006</strong> FIRM Financial Penalty 35,000<br />
Khalid Yasien trading as Khalid Fitness & Propriety Issues/Threshold Conditions 17/02/<strong>2006</strong> 22/06/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Douglas Cronshaw Incorporating Crossleys Insurance Consultants Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/<strong>2006</strong> 21/06/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Money Matters Financial Services LLP Fitness & Propriety Issues/Threshold Conditions 17/02/<strong>2006</strong> 22/06/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Douglas Lyons & Lyons trading as DLL Lettings Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/<strong>2006</strong> 15/06/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Cowplain Car Centre Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/<strong>2006</strong> 13/06/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Haymarket & City Consulting Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/<strong>2006</strong> 13/06/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Invicta Car and Finance Centre Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/<strong>2006</strong> 13/06/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Simply Kitchens Direct Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 06/01/<strong>2006</strong> 13/06/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Joseph Quartson trading as Quartson & Co Fitness & Propriety Issues/Threshold Conditions 08/02/<strong>2006</strong> 05/06/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Donald Whiteford trading as Equity Finance Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/<strong>2006</strong> 31/05/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Edward Harding trading as Bond Services Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/<strong>2006</strong> 31/05/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Ka & Ap Raine trading as Dragon Motors Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/<strong>2006</strong> 31/05/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Keith Robert Anderson trading as Moira Autocentre Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/<strong>2006</strong> 31/05/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Paul James Mundy trading as Paul Mundy Mortgages Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/<strong>2006</strong> 31/05/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Premier Insurance Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/<strong>2006</strong> 31/05/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Reece Associates Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/<strong>2006</strong> 31/05/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Roundbush Body and Paint Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/<strong>2006</strong> 31/05/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
RS Cars (RG) Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/<strong>2006</strong> 31/05/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
The Money Management Centre Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/<strong>2006</strong> 31/05/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Wtr Car Sales Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 03/02/<strong>2006</strong> 31/05/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
E H Morgan & Son (Cirencester) Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 01/12/2005 25/05/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Dan Davidson (Ballymena) Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 06/01/<strong>2006</strong> 23/05/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Lansdown Properties Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 06/01/<strong>2006</strong> 23/05/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Ivory Armstrong Douglas Limited Fitness & Propriety Issues/Threshold Conditions 14/12/2005 22/05/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Charles Rollin trading as Greenhow & Company Fitness & Propriety Issues/Threshold Conditions 08/12/2005 19/05/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Octopus Mortgages Limited Fitness & Propriety Issues/Threshold Conditions 14/12/2005 19/05/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Commercial Direct Limited Fitness & Propriety Issues/Threshold Conditions 05/01/<strong>2006</strong> 15/05/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
The High Street Mortgage Company Fitness & Propriety Issues/Threshold Conditions 08/11/2005 15/05/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions