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Showing 2361 to 2370 of 3283 search results for This Final Notice refers.

  1. FSA Final Notice 2011: Mr Jeremy Nicholas Sheard [pdf]

    Final notices Published: 16/02/2011 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Mr Jeremy Nicholas Sheard

  2. Notice of Decision 2024: Prestwood Motors Limited [pdf]

    Decision notices Published: 07/05/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  3. Decision Notice 2023: Edmund Lloyd Rowland [pdf]

    Decision notices Published: 05/05/2023
    This Decision (Edmund Lloyd Rowland) Notice refers to breach of Conduct Rule 1 (COCON 2.1.1R) related to failing to act with integrity in the private banking sector. Our view is that a financial penalty of £352,000 and prohibition should be imposed.

  4. FCA Decision Notice 2014: Standard Bank PLC [pdf]

    Decision notices Published: 23/01/2014 Last modified: 04/06/2015
    This decision notice refers to breaches of Money Laundering Regulations 2007 related to financial crime in the investment banking sector. We imposed a fine.

  5. Decision Notice 2022: Jorge Lopez Gonzalez [pdf]

    Decision notices Published: 07/12/2022
    This Decision Notice refers to breaches of Market Abuse Regulations and Financial Services and Markets Act 2000 related to market abuse and market manipulation in the Investment Bank sector. Our view is that a financial penalty and a prohibition

  6. Notice of Decision 2024: Alastair Hanson Limited [pdf]

    Decision notices Published: 28/02/2024
    This Notice of Decision refers to a failure to carry on regulated activity. We imposed a Cancellation

  7. Decision Notice: Robert Ward (Director of BHIM) [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Robert Ward (Director of BHIM) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that a

  8. Notice of Decision 2024: Automotive Gurus Limited [pdf]

    Decision notices Published: 29/04/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  9. Notice of Decision 2024: The Bridge Money Advisory Service [pdf]

    Decision notices Published: 16/07/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  10. Notice of Decision 2023: Demhayal UK Limited [pdf]

    Decision notices Published: 12/06/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.
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