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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142<br />
Section six – Appendices<br />
Appendix 5<br />
Section six – Appendices<br />
Appendix 5<br />
143<br />
Name on Final Notice Issue Date case Date Action Outcome Financial<br />
opened Final Notice against firm/ penalty<br />
issued individual? £<br />
Eileen Hayes trading as E Hayes Car Sales Fitness & Propriety Issues/Threshold Conditions – RMAR 06/01/<strong>2006</strong> 10/05/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Mark Cooper Garages Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 06/01/<strong>2006</strong> 10/05/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Maurice Lynn Motors Fitness & Propriety Issues/Threshold Conditions – RMAR 06/01/<strong>2006</strong> 10/05/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Middleton Financial Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 06/01/<strong>2006</strong> 10/05/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Peter Swatton trading as Abacus Accomodation Fitness & Propriety Issues/Threshold Conditions – RMAR 06/01/<strong>2006</strong> 10/05/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Dr Albert Alphonso Carlyle Waite Fitness & Propriety Issues/Threshold Conditions 11/08/2003 03/05/<strong>2006</strong> INDIVIDUAL Prohibition<br />
The London Adventist Credit Union Limited Fitness & Propriety Issues/Threshold Conditions 11/08/2003 03/05/<strong>2006</strong> FIRM Public Censure<br />
Besso Limited Financial Crime 14/11/2005 26/04/<strong>2006</strong> FIRM Financial Penalty 20,000<br />
Kumar Venkat trading as Gemini Connections Fitness & Propriety Issues/Threshold Conditions 08/12/2005 25/04/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Accident Legal Group Limited Fitness & Propriety Issues/Threshold Conditions 08/12/2005 24/04/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Watts, Paul trading as Friendly Finance Fitness & Propriety Issues/Threshold Conditions 17/01/<strong>2006</strong> 24/04/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Total Fleet Management Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 01/12/2005 20/04/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Easylife (UK) Limited Fitness & Propriety Issues/Threshold Conditions 14/12/2005 18/04/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Ideal Solutions NE Limited Fitness & Propriety Issues/Threshold Conditions 08/12/2005 18/04/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
WeSearch Mortgages Limited Fitness & Propriety Issues/Threshold Conditions 08/12/2005 18/04/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Appleby Insurance Services Limited Fitness & Propriety Issues/Threshold Conditions 08/12/2005 13/04/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Cornelius McGee trading as McGee Lindsay and Company Fitness & Propriety Issues/Threshold Conditions 10/11/2005 13/04/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Joseph Dantzic trading as Talk Finance Fitness & Propriety Issues/Threshold Conditions 08/12/2005 13/04/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
David John Maslen Market Protection 11/08/2004 10/04/<strong>2006</strong> INDIVIDUAL Financial Penalty 350,000<br />
Deutsche Bank AG Market Protection 11/08/2004 10/04/<strong>2006</strong> FIRM Financial Penalty 6,363,643<br />
Paul Andrew Tebbutt Fitness & Propriety Issues/Threshold Conditions 04/11/2004 10/04/<strong>2006</strong> INDIVIDUAL Financial Penalty 35,000<br />
Royal Liver Assurance Limited Selling 31/01/2005 06/04/<strong>2006</strong> FIRM Financial Penalty 550,000<br />
Clamare Legal Indemnity Limited Fitness & Propriety Issues/Threshold Conditions 08/11/2005 05/04/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Just Taxis Limited Fitness & Propriety Issues/Threshold Conditions – RMAR 05/12/2005 05/04/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Kevin Mollart Fitness & Propriety Issues/Threshold Conditions 08/12/2005 05/04/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions<br />
Modiu Bakare trading as MBA Property and Financial Services Fitness & Propriety Issues/Threshold Conditions 08/11/2005 05/04/<strong>2006</strong> FIRM Variation/Cancellation/Refusal of Authorisation/Approval/ Permissions