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Showing 2921 to 2930 of 4347 search results for FSA Final Notice.

  1. FSA - Notice of Undertaking: UK Underwriting Limited [pdf]

    Undertakings Published: 13/05/2008 Last modified: 30/05/2013
    Undertakings FSA - Notice of Undertaking: UK Underwriting Limited - Travel Insurance

  2. Final Notice 2017: Woodston Limited [pdf]

    Final notices Published: 06/11/2017
    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. FCA Final Notice 2014: Timothy Adrian Hughes [pdf]

    Final notices Published: 17/04/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 7 related to unfair treatment of customers, conflicts of interest, and lack of fitness/propriety in the investment advisors and platforms sector. We imposed a prohibition, withdrawal, and public censure.

  4. FCA Final Notice 2013: Gurpreet Singh Chadda [pdf]

    Final notices Published: 19/06/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety, failing to be open and co-operative and unfair treatment of customers in the sale and rent back sector. We imposed a fine and prohibition.

  5. Final Notice 2017: Michael McGillen [pdf]

    Final notices Published: 02/10/2017
    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.

  6. Final Notice 2016: Money Matcher Limited [pdf]

    Final notices Published: 14/09/2016
    This final notice refers to an application for Part 4A authorisation (“the Application”) by a firm holding Interim Permission in respect of the regulated activities subject to the Application. Due to concerns about the firm’s ability to

  7. Final Notice 2018: Guillaume Adolph [pdf]

    Final notices Published: 05/03/2018
    This final notice refers to breaches of PRIN 5 and FIT related to benchmarks, lack of fitness/propriety and wholesale conduct in the investment bank sector. We imposed a fine and a prohibition.

  8. Final Notice 2018: Murray Wilkinson [pdf]

    Final notices Published: 14/05/2018
    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.

  9. Final Notice 2021: Sportz Commercials Ltd [pdf]

    Final notices Published: 09/06/2021
    This final notice (Sportz Commercials 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.

  10. FCA Final Notice 2014: RSA Mortgage Services [pdf]

    Final notices Published: 14/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of COND related to financial crime, client money/assets, failing to be open and co-operative, and lack of fitness/propriety in the mortgages sector. We imposed a withdrawal.
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