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Showing 2791 to 2800 of 4347 search results for FSA Final Notice.
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FCA Final Notice 2014: Best Value 4 U Limited [pdf]
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. -
FCA Final Notice 2013: Xcap Securities PLC [pdf]
This final notice refers to breaches of PRIN 3, PRIN 10 related to client money/assets in the trading firms sector. We imposed a fine. -
FCA Final Notice 2014: Go Transfer Limited [pdf]
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. -
FCA Final Notice 2014: Shahid Sultan Babar [pdf]
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. -
FCA Final Notice 2013: Clydesdale Bank PLC [pdf]
This final notice refers to breaches of PRIN 6 related to unfair treatment of customers in the retail banks sector. We imposed a fine and redress. -
FCA Final Notice 2013: ICAP Europe Ltd [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firms sector. We imposed a fine. -
Final Notice 2021: Autolegend Ltd [pdf]
This final notice (Autolegend Ltd) 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 -
Final notice 2016: Robert John Bygrave [pdf]
This final notice refers to breaches of APER 6, FIT and CASS related to appointed representatives, failing to act on information appropriately, client money, lack of fitness/propriety and unfair treatment of customers in the general insurance and -
FCA Final Notice 2014: Peter Thomas Carron [pdf]
This final notice refers to breaches of APER 1 related to unfair treatment of customers, and lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition. -
FCA Final Notice 2014: Anthony Clare [pdf]
This final notice refers to breaches of APER 6 and 7 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the general insurance and protection sector. We imposed a public fine.