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Showing 2171 to 2180 of 4349 search results for FSA Final Notice.

  1. FSA Supervisory Notice 2006: David Anthony Jones (trading as D Jones Investments) [pdf]

    Supervisory notices Published: 01/11/2006 Last modified: 14/06/2014
    FSA First Supervisory Notice 2006: David Anthony Jones (trading as D Jones Investments)

  2. FSA Second Supervisory Notice 2002: Midgley's Insurance Mortgage & Pensions [pdf]

    Supervisory notices Published: 01/10/2002 Last modified: 14/06/2014
    FSA Second Supervisory Notice 2002: Midgley's Insurance Mortgage & Pensions

  3. Final Notice 2020: Goldman Sachs International (GSI) [pdf]

    Final notices Published: 22/10/2020 Last modified: 22/10/2020
    This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to wholesale conduct in the investment bank sector. We imposed a financial penalty.

  4. Final notice 2016: BN1 Cars Ltd [pdf]

    Final notices Published: 24/03/2016 Last modified: 24/03/2016
    This final notice refers to breaches of COND and TC, failing to be open and co-operative. We imposed a refusal.

  5. FSA Supervisory Notice 2010: Deptford and New Cross Credit Union Limited [pdf]

    Supervisory notices Published: 20/05/2010 Last modified: 14/06/2014
    FSA Supervisory Notice 2010: Deptford and New Cross Credit Union Limited

  6. FSA Supervisory Notice 2007: Mr John Adebayo Adepoju Trading as Landmark Finance [pdf]

    Supervisory notices Published: 01/04/2007 Last modified: 14/06/2014
    FSA Supervisory Notice 2007: Mr John Adebayo Adepoju Trading as Landmark Finance

  7. FCA Final Notice 2013: Westwind UK Limited [pdf]

    Final notices Published: 21/06/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation.

  8. FSA Supervisory Notice 2005: Ferguson, James (trading as James Ferguson Financial Services) [pdf]

    Supervisory notices Published: 01/08/2005 Last modified: 14/06/2014
    FSA Supervisory Notice 2005: Ferguson, James (trading as James Ferguson Financial Services)

  9. FCA Final Notice 2013: Coöperatieve Centrale Raiffeisen–Boerenleenbank B.A. (Rabobank) [pdf]

    Final notices Published: 29/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 2, PRIN 3, and PRIN 5 related to benchmarks in the investment banks sector. We imposed a fine.

  10. FSA Supervisory Notice 2006: William Faulkner (trading as Policylink & Apsley Homes Estate Agency) [pdf]

    Supervisory notices Published: 01/03/2006 Last modified: 14/06/2014
    FSA Supervisory Notice 2006: William Faulkner (trading as Policylink & Apsley Homes Estate Agency)
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