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Showing 2411 to 2420 of 3284 search results for This Final Notice refers.

  1. Decision Notice: Jin-Yi Lee [pdf]

    Decision notices Published: 31/05/2019
    This decision notice (Jin-Yi Lee) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. Our view is that a fine should be imposed.

  2. FSA Final Notice 2013: George Leavey [pdf]

    Final notices Published: 01/03/2013 Last modified: 31/05/2013
    For the reasons set out in this Final Notice, the FSA is taking action against George Leavey

  3. FCA Decision Notice 2016: Alistair Rae Burns [pdf]

    Decision notices Published: 01/12/2016
    This decision notice refers to breaches of APER 7 and FIT related to conflicts of interest, a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. Our view is that a fine, prohibition and withdrawal should be

  4. FSA Final Notice 2011: Rockingham Independent Limited [pdf]

    Final notices Published: 15/08/2011 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Rockingham Independent Limited

  5. Notice of Decision 2023: Abigail Investment Limited [pdf]

    Decision notices Published: 07/09/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  6. FSA Final Notice 2011: Associated Independent Mortgages Limited [pdf]

    Final notices Published: 05/01/2011 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Associated Independent Mortgages Limited

  7. FSA Final Notice 2012: The Portobello Partnership [pdf]

    Final notices Published: 27/02/2012 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against The Portobello Partnership

  8. FSA Final Notice 2012: Malcolm Thomas Shapcott trading as Independent Solutions [pdf]

    Final notices Published: 02/03/2012 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Malcolm Thomas Shapcott trading as Independent Solutions

  9. FCA Decision Notice 2015: Stewart Owen Ford [pdf]

    Decision notices Published: 26/05/2015 Last modified: 27/05/2015
    This decision notice refers to breaches of APER 1, APER 4, FIT related to mis-selling, failing to be open and co-operative, lack of fitness/propriety, conflicts of interests, failing to act on information appropriately in the Asset Management sector.

  10. Notice of Decision 2024: Headstone Associates Limited [pdf]

    Decision notices Published: 26/04/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.
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