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Showing 2491 to 2500 of 4349 search results for FSA Final Notice.

  1. Final Notice 2016: Warmcool Limited [pdf]

    Final notices Published: 13/12/2016
    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 2023: DMA Developments Ltd [pdf]

    Final notices Published: 07/12/2023
    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.

  3. FSA Supervisory Notice 2011: IJarvis Investment Management Limited [pdf]

    Supervisory notices Published: 09/11/2011 Last modified: 14/06/2014
    FSA Supervisory Notice 2011: IJarvis Investment Management Limited

  4. FSA - Notice of Undertaking: National House-Building Council [pdf]

    Undertakings Published: 16/01/2012 Last modified: 14/08/2013
    Review of term in new home insurance

  5. FCA Final Notice 2013: The Royal Bank of Scotland plc and The Royal Bank of Scotland N.V. (together “RBS”) [pdf]

    Final notices Published: 16/07/2013 Last modified: 07/04/2015
    This final notice refers to breaches of SUP and PRIN 2 related to transaction reporting in the investment banks sector. We imposed a fine.

  6. FCA Final Notice 2014: Financial Limited [pdf]

    Final notices Published: 23/07/2014 Last modified: 13/03/2015
    This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction.

  7. FCA Final Notice 2014: Vasavan Thambhiah [pdf]

    Final notices Published: 20/06/2014 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 systems sector. We imposed a cancellation.

  8. Final Notice 2020: TFS-ICAP Limited [pdf]

    Final notices Published: 23/11/2020 Last modified: 23/11/2020
    This Final Notice refers to breaches of PRIN 2, PRIN 3 and PRIN 5 related to wholesale conduct in the wholesale broker sector. We imposed a financial penalty.

  9. FSA - Notice of Undertaking: BISL Limited [pdf]

    Undertakings Published: 11/02/2013 Last modified: 24/09/2013
    Cancellation terms in motor insurance policies

  10. FSA Decision Notice 2012: David Einhorn [pdf]

    Decision notices Published: 12/01/2012 Last modified: 14/06/2014
    FSA Decision Notice 2012: David Einhorn
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