Search results
Showing 2461 to 2470 of 4349 search results for FSA Final Notice.
-
Final Notice 2017: Mitchell Barney [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. -
FSA Annual Report 2012/13
This is the FSA's final Annual Report, covering the year leading up to its abolition in April 2013. -
FSA - Notice of Undertaking: Tunbridge Wells Equitable Friendly Society Ltd [pdf]
Undertakings FSA - Notice of Undertaking: Tunbridge Wells Equitable Friendly Society Ltd - With-Profits Investments -
Final Notice 2016: Phillip Whiffin [pdf]
This final notice refers to breaches of PRIN 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2017: Reuben Anderson [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 2023: NMC Health Plc (in Administration) [pdf]
This Final Notice refers to breaches of Article 15 EU MAR related to disseminating false and misleading information regarding NMC’s debt positions. We publish a public censure. -
FCA Final Notice 2013: Michael Conway [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the wealth management and private banking, investment advisers and platforms sector. We imposed a prohibition. -
FSA - Notice of Undertaking: RBS Group [pdf]
Payment services - indemnity concerning payment instructions. -
FSA Supervisory Notice 2010: Edinburgh Hackney Cab Trade Credit Union Limited [pdf]
FSA Supervisory Notice 2010: Edinburgh Hackney Cab Trade Credit Union Limited -
Final Notice 2019: UBS AG [pdf]
This final notice (UBS AG) refers to breaches of SUP 17, SUP 15 and PRIN 3 related to transaction reporting failures in the investment bank sector. We imposed a fine.