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Showing 3591 to 3600 of 4347 search results for FSA Final Notice.
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Final notice 2016: Millburn Insurance Company Limited (in administration) [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector. We imposed a fine. -
Final Notice 2019: Eric Ka Chi Siu [pdf]
This final notice (Eric Ka Chi Siu) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. We imposed a financial penalty. -
Final Notice: Sonali Bank (UK) Ltd [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 11 related to culture/governance, failing to be open and co-operative and financial crime in the retail bank sector. We imposed a fine and suspension/restriction. -
Final Notice 2017: Eastern Union Remittance and Exchange Limited [pdf]
This final notice refers to breaches of Principle 11 related to failing to be open and -
Final Notice 2019: LB Fitness Services Ltd [pdf]
This final notice (LB Fitness Services 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. -
Final Notice 2023: Moorland Mayfair Wealth Management [pdf]
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 retail lending, retail investments, general insurance & protection and consumer credit -
Final notice 2018: City Docs Solutions 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. -
FCA Final Notice 2014: Castle Wildish Chartered Surveyors [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a withdrawal. -
FCA Final Notice 2014: Newgate Finance & Properties Limited [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the mortgages sector. We imposed a cancellation. -
Final Notice 2021: Alsford Page & Gems Limited [pdf]
This Final Notice refers to breaches of PRIN 3 and PRIN 6 related to Appointed representative sales of extended warranty insurance products in the General Insurance and Protection sector. We imposed a public censure.