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Showing 2601 to 2610 of 3282 search results for This Final Notice refers.

  1. FSA - PS12/2 [pdf]

    Policy statements Published: 20/01/2012 Last modified: 30/05/2013
    Policy FSA - PS12/2 - This Policy Statement reports on the main issues in relation to custody liens arising from Consultation Paper 11/15: Client assets sourcebook: (1) Custody liens, (2) Title transfer collateral arrangements (July 2011) and

  2. FCA Decision Notice 2016: Michael Wilkinson trading as Michael Wilkinson Mortgages [pdf]

    Decision notices Published: 27/09/2016
    This decision notice refers to breaches of PRIN 4, PRIN 11, COND, MIPRU and SUP related to failing to be open and co-operative and threshold conditions in the regulated home finance sector. Our view is that a cancellation should be imposed.

  3. Notice of Decision 2024: Lower Quinton Garages Limited [pdf]

    Decision notices Published: 16/01/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  4. Notice of Decision 2024: Commercial Trade Centre Limited [pdf]

    Decision notices Published: 22/04/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  5. Decision Notice 2018: Linear Investments Limited [pdf]

    Decision notices Published: 27/09/2018
    This decision notice refers to breaches of PRIN 3 related to market protection and market abuse in the trading firm sector. Our view is that a fine should be imposed. Linear has agreed the facts set out in the Notice, as well as liability for the

  6. FSA Final Notice 2012: Welcome Financial Services Limited [pdf]

    Final notices Published: 28/03/2012 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Welcome Financial Services Limited

  7. Decision Notice 2022: First Union (Europe) Limited [pdf]

    Decision notices Published: 20/01/2023
    This notice of decision to cancel (First Union (Europe) Limited) refers to breaches of The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 related to failing to be open and co-operative in the

  8. Notice of Decision 2024: Bridlington Holiday Park Limited [pdf]

    Decision notices Published: 06/06/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. 

  9. FSA Final Notice 2012: Capita Financial Managers Limited [pdf]

    Final notices Published: 13/11/2012 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Capita Financial Managers Limited

  10. Notice of Decision 2023: Synergy Energy Solutions Ltd [pdf]

    Decision notices Published: 22/08/2023
    This notice of decision refers to a failure to carry out regulated activities. We imposed a cancellation.
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