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Showing 3191 to 3200 of 4347 search results for FSA Final Notice.
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FCA Final Notice 2013: Castlehill Wealth Management Limited [pdf]
This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation. -
FCA Final Notice 2013: AXA Wealth Services Ltd (“AXA”) [pdf]
This final notice refers to breaches of PRIN 9 and COBS related to mis-selling in the investment advisers and platforms sector. We imposed a fine. -
Final Notice 2019: Stewart Owen Ford [pdf]
This final notice (Stewart Owen Ford) refers to breaches by an executive director of APER 1, APER 4 and FIT related to mis-selling, failing to be open and co-operative, a lack of fitness/propriety, conflicts of interest, and failing to act on -
Final Notice 2017: Clive John Rosier [pdf]
This final notice (Clive Rosier) refers to breaches of APER 2 and APER 7 for complaints-handling, failure to demonstrate that suitable advice was given and lack of fitness/propriety in the investment adviser sector. We imposed a fine, withdrawal and -
Final Notice: Samlet Car Sales Ltd [pdf]
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. -
Final Notice 2021: David Nicholas King [pdf]
This Final Notice (David Nicholas King) refers to FIT relating to a lack of honesty and integrity in the investment advisory sector. We imposed a prohibition. -
Final Notice 2023: Bastion Capital London Limited [pdf]
This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty. -
Final Notice 2017: Phoenix Clinic Limited [pdf]
Conduct: Failing to be open and co-operative Breaches: PRIN 11 Subject: Firm Outcome: Cancellation Sector: Consumer Credit -
Final Notice 2017: Venture15 Limited [pdf]
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. -
Statement on Achilles Macris
certain matters set out in the final notice issued to JPMorgan Chase Bank N.A (JP Morgan) on 19 September 2013 which related to the ‘London Whale’ trades. ... Such rights are known as ‘third party rights’. The FCA did not give Mr Macris third