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Showing 1011 to 1020 of 6301 search results for This final notice.

  1. Final Notice 2015: Kweku Mawuli Adoboli [pdf]

    Final notices Published: 16/10/2015 Last modified: 16/10/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment bank sector. We imposed a prohibition.

  2. Final notice 2016: AKV Vehicles Limited [pdf]

    Final notices Published: 25/02/2016 Last modified: 25/02/2016
    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.

  3. Final notice 2016: Edge Performance 10 Limited [pdf]

    Final notices Published: 13/07/2016 Last modified: 13/07/2016
    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.

  4. FSA Final Notice 2012: David Thomas Davis [pdf]

    Final notices Published: 05/07/2012 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against David Thomas Davis

  5. FCA Final Notice 2014: Andrew Charles Rees [pdf]

    Final notices Published: 17/04/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 7 related to unfair treatment of customers, conflicts of interest, and lack of fitness/propriety in the investment advisors and platforms sector. We imposed a prohibition, withdrawal, and public censure.

  6. Final notice 2016: Ray Alexander Wilson [pdf]

    Final notices Published: 27/01/2016 Last modified: 27/01/2016
    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.

  7. Final Notice 2019: Trevor Alan Oakley [pdf]

    Final notices Published: 12/10/2012 Last modified: 26/01/2021
    This final notice (Trevor Alan Oakley) refers to a failure to satisfy FIT criteria and demonstrate fitness and propriety, therefore the application (for authorisation) was refused.

  8. FCA Final Notice 2013: JPMorgan Chase Bank, N.A. [pdf]

    Final notices Published: 19/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 2, PRIN 3, PRIN 5, and PRIN 11 related to wholesale conduct, market protection, and failing to be open and co-operative in the investment banks sector. We imposed a fine.

  9. Final Notice 2018: UK4REX Limited [pdf]

    Final notices Published: 14/12/2018
    This final notice (UK4REX Limited) refers to breaches of payment services regulations (PSR) related to failing to be open and co-operative in the payment services sector. For the interest and protection of Consumers, we imposed a cancellation.

  10. FSA Final Notice 2013: Christopher Ollerenshaw [pdf]

    Final notices Published: 07/01/2013 Last modified: 31/05/2013
    For the reasons set out in this Final Notice, the FSA is taking action against Christopher Ollerenshaw
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