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Showing 3281 to 3290 of 4347 search results for FSA Final Notice.

  1. FCA Final Notice 2013: Nicholas Welsh & Co Limited [pdf]

    Final notices Published: 03/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of TC related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

  2. [pdf]

    Final notices Published: 02/12/2011 Last modified: 30/05/2013

  3. Final Notice 2019: Neil Williams-Denton [pdf]

    Final notices Published: 08/08/2019
    This final notice refers to breaches of FIT related to threshold conditions, financial crime and lack of fitness and propriety in the Wealth Management and Investment Adviser sector. We imposed a prohibition.

  4. Final Notice 2022: Mohammed Ataur Rahman Prodhan [pdf]

    Final notices Published: 18/11/2022
    This final notice refers to a breach of APER 6, and being knowingly concerned in a breach of PRIN 3 in relation to financial crime controls in the retail bank sector. We have imposed a public censure.

  5. Final Notice 2015: Lloyds Bank plc, Bank of Scotland plc and Black Horse Limited (together Lloyds Banking Group “LBG”) [pdf]

    Final notices Published: 05/06/2015 Last modified: 05/06/2015
    This final notice refers to breaches of PRIN 6 related to unfair treatment of customers and complaints-handling in the retail bank sector. We imposed a fine.

  6. Final notice: Niel Russel Cheetham [pdf]

    Final notices Published: 10/06/2019
    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.

  7. Final Notice 2020: Russell David Jameson [pdf]

    Final notices Published: 05/11/2020
    This Final Notice (Russell David Jameson) refers to breaches of FIT by a financial adviser. We imposed a prohibition.

  8. Final Notice 2022: Mayfair Jewellers Ltd [pdf]

    Final notices Published: 04/02/2022
    This Final Notice (Mayfair Jewellers Ltd) refers to a failure to satisfy the suitability threshold conditions (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 2019: John Paul Hunt [pdf]

    Final notices Published: 15/11/2019
    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.

  10. Final Notice 2018: Resource IMS Limited [pdf]

    Final notices Published: 21/09/2018
    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.
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