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Showing 2231 to 2240 of 4349 search results for FSA Final Notice.

  1. Final Notice 2018: Zoe Croft [pdf]

    Final notices Published: 16/08/2018
    This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.

  2. Final notice 2016: Jawad Khan [pdf]

    Final notices Published: 25/02/2016 Last modified: 25/02/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  3. FSA - Notice of Undertaking: In Retirement Services (Reversions) Ltd [pdf]

    Undertakings Published: 05/08/2008 Last modified: 30/05/2013
    Undertakings FSA - Notice of Undertaking: In Retirement Services (Reversions) Ltd - Home Reversion

  4. Final notice 2016: Abbas Khan trading as Parry Lane Services [pdf]

    Final notices Published: 03/03/2016 Last modified: 03/03/2016
    This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  5. Final Notice 2024: Tyrone Miller [pdf]

    Final notices Published: 31/05/2024
    “This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.”

  6. Final Notice 2023: Equifax Limited [pdf]

    Final notices Published: 13/10/2023
    This Final Notice relates to the outsourcing of data processing to an intragroup entity which experienced a data breach. The Final Notice refers to risk management failings (Principle 3) and failings in relation to treating customers fairly and

  7. Final notice 2016: W H Ireland Limited [pdf]

    Final notices Published: 23/02/2016 Last modified: 23/02/2016
    This final notice refers to breaches of PRIN 3 and SYSC related to market protection, culture/governance and conflicts of interest in the wealth management and private banking sector. We imposed a fine and restriction.

  8. Final Notice 2017: Ann Burke [pdf]

    Final notices Published: 31/03/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  9. FSA Supervisory Notice 2004: Financial Matters [pdf]

    Supervisory notices Published: 01/04/2004 Last modified: 14/06/2014
    FSA Supervisory Notice 2004: Financial Matters

  10. Final Notice 2020: North West Seamless Coating Ltd [pdf]

    Final notices Published: 06/02/2020
    This final notice (North West Seamless Coating Ltd ) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.
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