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Showing 2951 to 2960 of 4347 search results for FSA Final Notice.

  1. Regulated covered bonds

    Firms Regulated markets Published: 13/05/2016 Last modified: 08/02/2023
    Covered bonds are a type of secured bond usually backed by mortgages or public sector loans. Read about the UK regulated covered bonds regime.

  2. Final notice 2016: Wayne Anthony Redgrave [pdf]

    Final notices Published: 01/02/2016 Last modified: 01/02/2016
    This final notice refers to breaches of APER 6 and ICOBS related to appointed representatives, failing to act on information appropriately and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

  3. Decision Notice 2020: Eurofin Capital Ltd [pdf]

    Decision notices Published: 05/08/2020
    This decision notice (Eurofin Capital Ltd) refers to breaches of The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 related to failing to be open and co-operative in the trading firm sector.

  4. FCA Final Notice 2013: Andrew Joseph Powell [pdf]

    Final notices Published: 17/12/2013 Last modified: 07/04/2015
    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.

  5. Final Notice 2015: Ralph Whittington [pdf]

    Final notices Published: 10/09/2015 Last modified: 10/09/2015
    This final notice refers to breaches of APER 1 and FIT related to lack of fitness/propriety, client money/assets and insurance fraud in the general insurance and protection sector. We imposed a fine, prohibition, and withdrawal.

  6. Final Notice 2015: Noraminvest UK Limited [pdf]

    Final notices Published: 12/05/2015 Last modified: 12/05/2015
    This final notice refers to breaches of principle 11 and TC related to threshold conditions and failing to be open and co-operative in the investment advisor sector. We imposed a cancellation.

  7. Final Notice 2019: Glossy R Ltd [pdf]

    Final notices Published: 22/08/2019
    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.

  8. FSA - Notice of Undertaking: Investec Bank plc [pdf]

    Undertakings Published: 18/02/2013 Last modified: 24/09/2013
    Investec FTSE 100 Enhanced Kick-Out Plan 21 Terms and Conditions

  9. FCA Final Notice 2014: Derick Anthony Whewall [pdf]

    Final notices Published: 21/05/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  10. FCA Final Notice 2013: Sadiq Exchange Limited [pdf]

    Final notices Published: 29/10/2013 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.
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