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Showing 2391 to 2400 of 4349 search results for FSA Final Notice.
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FCA Final Notice 2014: David Welsby [pdf]
This final notice refers to breaches of APER 1 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition. -
Final notice 2016: Peter Charles Johnson [pdf]
This final notice refers to breaches of FIT related to benchmarks, a lack of fitness/propriety and wholesale conduct in the retail bank sector. We imposed a prohibition. -
Final Notice 2017: Stephen Moore [pdf]
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. -
Final Notice: Kathryn Clark [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition and withdrawal. -
Final Notice 2017: Stuart Graham [pdf]
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. -
Final Notice 2022: NWUS Ltd [pdf]
We have issued a Final Notice to NWUS Ltd, refusing their application to carry on regulated activities as mentioned. -
Final Notice 2015: Salam Transfer Limited [pdf]
This final notice refers to breaches of the Payment Services Regulations 2009 (the PSRs), Regulation 13, related to lack of fitness/propriety and failing to be open and cooperative with the Financial Conduct Authority. We imposed a refusal of the -
FSA - Notice of Undertaking: Blemain Finance Limited [pdf]
Undertakings FSA - Notice of Undertaking: Blemain Finance Limited - Details regarding the removal of the undertaking, obtained from Blemain Finance Limited in October 2006, from our website. -
Final Notice 2015: Eldonian Group Ltd [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final Notice 2017: Lukhvir Thind [pdf]
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.