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Showing 2321 to 2330 of 4349 search results for FSA Final Notice.
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FCA Final Notice 2013: Fokrul Islam [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation. -
FSA Supervisory Notice 2008: Millbank Mortgages Limited [pdf]
FSA Supervisory Notice 2008: Millbank Mortgages Limited -
Final Notice 2015: David Caplin [pdf]
This final notice refers to breaches of APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition. -
FCA Final Notice 2013: UK Paymaster Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation. -
Final Notice 2019: Carz2go Ltd [pdf]
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. -
FSA Supervisory Notice 2009: Executive Investments Plc [pdf]
FSA First Supervisory Notice 2009: Executive Investments Plc -
Final Notice 2023: Jason Morrison [pdf]
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. -
Final Notice 2023: Floenergy Ltd [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the credit broking sector. We refused the firm’s application for authorisation. -
FCA Final Notice 2014: State Street [pdf]
This final notice refers to breaches of PRIN 6 and PRIN 7 related to wholesale conduct, unfair treatment of customers in the investment banks sector. We imposed a fine. -
Final Notice 2020: Neil Bartlett [pdf]
This Final Notice (Neil Bartlett) refers to failure to meet the criteria in FIT. We imposed a prohibition.