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Showing 2241 to 2250 of 4349 search results for FSA Final Notice.

  1. FSA Decision Notice 2012: John Blake [pdf]

    Decision notices Published: 18/01/2012 Last modified: 14/06/2014
    FSA Decision Notice 2012: John Blake

  2. FSA - Notice of Undertaking: DAS Legal Expenses Insurance Company [pdf]

    Undertakings Published: 01/07/2010 Last modified: 02/03/2015
    Undertakings FSA - Notice of Undertaking: DAS Legal Expenses Insurance Company - Details regarding the removal of the undertaking obtained from DAS Legal Expenses Insurance Company Ltd in July 2006, from our website.

  3. Final Notice 2024: Paul Ulliott [pdf]

    Final notices Published: 15/01/2024
    This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  4. FCA Final Notice 2013: Minona LLP [pdf]

    Final notices Published: 02/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the asset management sector. We imposed a cancellation.

  5. FSA Supervisory Notice 2002: Tudor House Financial Services [pdf]

    Supervisory notices Published: 01/11/2002 Last modified: 14/06/2014
    FSA Supervisory Notice 2002: Tudor House Financial Services

  6. Final Notice 2023: Statum Limited [pdf]

    Final notices Published: 07/08/2023
    This Final Notices 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.

  7. FCA Final Notice 2013: John Dixon [pdf]

    Final notices Published: 03/06/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

  8. FSA Supervisory Notice 2004: Harvey Simon Medical Insurance Services - First Supervisory Notice [pdf]

    Supervisory notices Published: 01/11/2004 Last modified: 14/06/2014
    FSA Supervisory Notice 2004: Harvey Simon Medical Insurance Services - First Supervisory Notice

  9. FSA Supervisory Notice 2004: Berry Birch & Noble Financial Services Ltd [pdf]

    Supervisory notices Published: 01/04/2004 Last modified: 14/06/2014
    FSA Supervisory Notice 2004: Berry Birch & Noble Financial Services Ltd

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

    Supervisory notices Published: 01/07/2004 Last modified: 14/06/2014
    FSA Second Supervisory Notice 2004: Teare Rose Independent Financial Advisers
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