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Showing 2521 to 2530 of 4347 search results for FSA Final Notice.

  1. Final Notice 2022: TSB Bank plc [pdf]

    Final notices Published: 20/12/2022
    This Final Notice refers to breaches of Prin 2 related to failing to exercise due skill, care and diligence and Prin 3 for not taking reasonable care in organising and controlling its affairs responsibly and effectively, with adequate risk

  2. Final Notice 2017: R Taggar [pdf]

    Final notices Published: 18/08/2017
    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.

  3. Final Notice 2017: Raj Von Badlo [pdf]

    Final notices Published: 20/02/2017
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  4. Final Notice 2017: Joanne Fitzsimmons [pdf]

    Final notices Published: 10/05/2017
    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.

  5. Final Notice 2021: Ian Berry (trading as Motorland) [pdf]

    Final notices Published: 11/06/2021
    This final notice (Ian Berry (trading as Motorland)) refers to a failure to satisfy the Suitability Threshold Condition (COND) and a failure to notify the Authority of a change of contact details in the consumer credit sector. We imposed a

  6. Final Notice 2017: Insulating Windows [pdf]

    Final notices Published: 10/08/2017
    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.

  7. Final Notice 2020: Aviva plc [pdf]

    Final notices Published: 26/10/2020
    This Final Notice (Aviva plc) refers to breaches of Listing Rule 1.3.3R and Transparency Rule 1A.3.2R related to Listing rules/DTR breaches in the General Insurance and Protection sector. We issued a public censure. File updated with accessibility

  8. Final Notice 2022: Hugh Edwards [pdf]

    Final notices Published: 28/04/2022
    This Final Notice (Hugh Edwards) refers to breaches of FIT. We imposed a prohibition.

  9. Final Notice 2015: Unitransfer Limited [pdf]

    Final notices Published: 11/08/2015 Last modified: 11/08/2015
    This final notice refers to breaches of PSR, related to payment service regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation.

  10. Final Notice 2020: Peter Howson [pdf]

    Final notices Published: 12/10/2020 Last modified: 12/10/2020
    This Final Notice (Peter Anthony Hoswon) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.
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