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Showing 2331 to 2340 of 4349 search results for FSA Final Notice.

2331. FCA Final Notice 2013: Alison Moran [pdf]

      Final notices Published: 04/10/2013 Last modified: 07/04/2015
      This final notice refers to breaches of PRIN 6 related to financial promotions and unfair treatment of customers in the investment advisers and platforms sector. We imposed a penalty.

2332. Final Notice 2015: Jeremy Kraft [pdf]

      Final notices Published: 22/01/2015 Last modified: 22/01/2015
      This final notice refers to breaches of APER 6, 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.

2333. FSA Supervisory Notice 2006: Colville, Cody Francis (trading as Cody F Colville) [pdf]

      Supervisory notices Published: 01/06/2006 Last modified: 14/06/2014
      FSA Supervisory Notice 2006: Colville, Cody Francis (trading as Cody F Colville)

2334. Final Notice 2023: Keith Dickinson [pdf]

      Final notices Published: 13/09/2023
      This Final Notice refers to breaches of APER 2 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition and public censure. A payment of £70,000 is being made to the FSCS

2335. Final Notice 2024: RCWatches Ltd [pdf]

      Final notices Published: 04/06/2024
      This final notice refers to a cancellation pursuant to powers under section 55J of FSMA in the consumer credit sector. 

2336. FCA Final Notice 2014: Abdul Razzaq [pdf]

      Final notices Published: 14/08/2014 Last modified: 07/04/2015
      This final notice refers to breaches of FIT related to financial crime, client money/assets, failing to be open and co-operative, and lack of fitness/propriety in the mortgages sector. We imposed a prohibition.

2337. FSA - Notice of Undertaking: Beacon Financial Limited [pdf]

      Undertakings Published: 18/01/2010 Last modified: 30/05/2013
      Undertakings FSA - Notice of Undertaking: Beacon Financial Limited - Independent financial advice

2338. FSA Second Supervisory Notice 2006: Rotton Park/Winson Green Credit Union Limited [pdf]

      Supervisory notices Published: 01/06/2006 Last modified: 14/06/2014
      FSA Second Supervisory Notice 2006: Rotton Park/Winson Green Credit Union Limited

2339. Final Notice 2017: Nadeem Aslam [pdf]

      Final notices Published: 23/06/2017
      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.

2340. FSA - Notice of Undertaking: Devitt Insurance Services Limited and Screentrade [pdf]

      Undertakings Published: 30/04/2008 Last modified: 30/05/2013
      Undertakings FSA - Notice of Undertaking: Devitt Insurance Services Limited and Screentrade - Motor Insurance