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Showing 211 to 220 of 6295 search results for This final notice.

  1. FSA Final Notice 2012: UBS AG [pdf]

    Final notices Published: 25/11/2012 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against UBS AG

  2. FCA Final Notice 2013: Westwind UK Limited [pdf]

    Final notices Published: 21/06/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation.

  3. FCA Final Notice 2013: Coöperatieve Centrale Raiffeisen–Boerenleenbank B.A. (Rabobank) [pdf]

    Final notices Published: 29/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 2, PRIN 3, and PRIN 5 related to benchmarks in the investment banks sector. We imposed a fine.

  4. FSA Final Notice 2011: Commercial Insurance Services (M/CR) Limited [pdf]

    Final notices Published: 18/10/2011 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Commercial Insurance Services (M/CR) Limited

  5. Final Notice 2020: Goldman Sachs International (GSI) [pdf]

    Final notices Published: 22/10/2020 Last modified: 22/10/2020
    This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to wholesale conduct in the investment bank sector. We imposed a financial penalty.

  6. Final notice 2016: Patrick Gray [pdf]

    Final notices Published: 09/06/2016 Last modified: 09/06/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  7. FCA Final Notice 2013: Westwood Independent Financial Planners [pdf]

    Final notices Published: 17/12/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to mis-selling and unfair treatment of customers in the investment advisers and platforms sector. We imposed a fine.

  8. FSA Final Notice 2011: Caspar Agnew [pdf]

    Final notices Published: 03/10/2011 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Caspar Agnew

  9. FSA Final Notice 2012: Steven Toole [pdf]

    Final notices Published: 03/05/2012 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Steven Toole

  10. FSA Final Notice 2011: Crimson Permanent Assurance Consultants Limited [pdf]

    Final notices Published: 06/04/2011 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Crimson Permanent Assurance Consultants Limited
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