Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 3371 to 3380 of 4347 search results for FSA Final Notice.

  1. Handbook Release 133 - Summary [pdf]

    Handbook Published: 15/01/2013 Last modified: 30/05/2013
    This Release contains pages to be inserted into your paper version of the Handbook in order to bring it up to date as at Release 133. These pages incorporate the changes made on a particular date, as described in the relevant Handbook Notice.

  2. Handbook Release 121 - Summary [pdf]

    Handbook Published: 01/02/2012 Last modified: 30/05/2013
    This Release contains pages to be inserted into your paper version of the Handbook in order to bring it up to date as at Release 121. These pages incorporate the changes made on a particular date, as described in the relevant Handbook Notice.

  3. Final Notice 2018: M and M Supplies (Willas McAdam trading as) [pdf]

    Final notices Published: 21/09/2018
    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.

  4. Knowledge Base

    Markets Primary markets Published: 02/05/2016 Last modified: 29/04/2024
    The Knowledge Base is our source of technical guidance on our Listing Rules, Prospectus Regulation Rules and Disclosure and Transparency Rules.

  5. Final Notice 2015: Focus Wealth Management LLP [pdf]

    Final notices Published: 14/04/2015 Last modified: 14/04/2015
    This final notice refers to breaches of Principle 11 and TC related to threshold conditions, failing to be open and co-operative in the investment advisor sector. We imposed a cancellation.

  6. Final Notice 2017: AB Car Sales (Leeds) Ltd [pdf]

    Final notices Published: 06/10/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  7. Final Notice 2016: Jay Bee Automotive Limited [pdf]

    Final notices Published: 08/08/2016 Last modified: 08/08/2016
    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.

  8. FSA Decision Notice 2012: Arch Financial Products LLP [pdf]

    Decision notices Published: 14/09/2012 Last modified: 31/03/2015

  9. FCA Final Notice 2014: EPLS Risk Solutions Limited (formerly Glen Insurance Consultants Limited) [pdf]

    Final notices Published: 23/09/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance intermediary sector. We imposed a cancellation.

  10. FCA Final Notice 2014: AL-Noor Corporation Limited [pdf]

    Final notices Published: 14/08/2014 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 services sector. We imposed a cancellation.
Related topics