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Showing 2201 to 2210 of 4349 search results for FSA Final Notice.

  1. FSA - Handbook Notice 126 [pdf]

    Handbook Published: 18/01/2013 Last modified: 30/05/2013
    On 13 December 2012 the FSA Board made changes to the Handbook in one instrument which provides consumers that invested in Arch cru funds with a redress scheme.

  2. Final Notice 2023: Mr Paul Steel [pdf]

    Final notices Published: 04/07/2023
    This Final Notice refers to breaches of APER 1, 2 and 4, and COCON 1 and 3 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a financial penalty and a prohibition.

  3. FSA Supervisory Notice 2004: Derek Craig [pdf]

    Supervisory notices Published: 01/02/2004 Last modified: 14/06/2014
    FSA Supervisory Notice 2004: Derek Craig

  4. FSA - Handbook Notice 127 [pdf]

    Handbook Published: 22/02/2013 Last modified: 30/05/2013
    On 21 February 2013 the FSA Board made changes to the Handbook which make a number of technical adjustments to fees, clarify existing practice, remove certain discounts, and bring into line invoicing arrangements for certain fee-payers.

  5. Final Notice 2017: Tesco plc [pdf]

    Final notices Published: 28/03/2017
    This final notice refers to breaches of s.118(7) related to market abuse in the issuer sector. We imposed a restitution.

  6. Final Notice 2024: Victoria Snoddy [pdf]

    Final notices Published: 08/02/2024
    This Final Notice (Victoria Snoddy) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in relation to a new firm authorisation application. We have refused the Application.

  7. FSA Second Supervisory Notice 2002: Roger Jay Financial Services [pdf]

    Supervisory notices Published: 01/11/2002 Last modified: 14/06/2014
    FSA Second Supervisory Notice 2002: Roger Jay Financial Services

  8. FSA Supervisory Notice 2004: Teare Rose Independent Financial Advisers [pdf]

    Supervisory notices Published: 01/05/2004 Last modified: 14/06/2014
    FSA Supervisory Notice 2004: Teare Rose Independent Financial Advisers

  9. FCA Final Notice 2014: Ewan King [pdf]

    Final notices Published: 30/01/2014 Last modified: 19/05/2015
    This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

  10. FSA Second Supervisory Notice 2007: Harry Selvarajah [pdf]

    Supervisory notices Published: 01/04/2007 Last modified: 14/06/2014
    FSA Second Supervisory Notice 2007: Harry Selvarajah
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