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Showing 2361 to 2370 of 4349 search results for FSA Final Notice.

  1. Final Notice 2016: Robin Cawley [pdf]

    Final notices Published: 26/10/2016
    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.

  2. Final Notice 2022: Lyonnaise De Banque [pdf]

    Final notices Published: 21/12/2022
    This final notice (Lyonnaise De Banque) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in relation to a firm within the TPR. We imposed a cancellation.

  3. FSA Decision Notice 2011: Athanass Stefanopoulos [pdf]

    Decision notices Published: 31/08/2011 Last modified: 14/06/2014
    FSA Decision Notice 2011: Athanass Stefanopoulos

  4. FCA Final Notice 2014: Michael Bains [pdf]

    Final notices Published: 06/01/2014 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  5. FCA Final Notice 2013: Daniel Norris [pdf]

    Final notices Published: 23/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection. We imposed a cancellation.

  6. FSA Decision Notice 2011: Timothy Simon Pattison [pdf]

    Decision notices Published: 03/11/2011 Last modified: 14/06/2014
    FSA Decision Notice 2011: Timothy Simon Pattison

  7. Final Notice 2017: Niall O’Kelly [pdf]

    Final notices Published: 07/04/2017
    This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition.

  8. FCA Final Notice 2014: Besso Limited [pdf]

    Final notices Published: 19/03/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 related to anti-Bribery and corruption in the general insurance and protection sector. We imposed a fine.

  9. Final Notice 2015: Stephen Allen [pdf]

    Final notices Published: 16/04/2015 Last modified: 16/04/2015
    This final notice refers to breaches of FIT related to lack of fitness and propriety and failing to be open and co-operative in the general insurance and protection sector. We imposed a prohibition.

  10. FCA Final Notice 2014: UK2PK Limited [pdf]

    Final notices Published: 14/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation.
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