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Showing 311 to 320 of 6296 search results for This final notice.

311. FSA Final Notice 2012: Martin Russell Lafrance [pdf]

     Final notices Published: 20/03/2012 Last modified: 14/06/2014
     For the reasons set out in this Final Notice, the FSA is taking action against Martin Russell Lafrance

312. Final Notice 2019: Rarezero Ltd [pdf]

     Final notices Published: 15/11/2019
     This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.

313. Final notice 2016: Sunrise Brokers LLP [pdf]

     Final notices Published: 13/06/2016 Last modified: 13/06/2016
     This final notice refers to a candidate for approval to perform controlled functions. The applicant firm and candidate did not provide sufficient information to satisfy us that the candidate met the honesty, integrity and reputation criteria of the

314. FSA Final Notice 2013: Peter Lea trading as Peter Lea Financial Management [pdf]

     Final notices Published: 08/03/2013 Last modified: 31/05/2013
     For the reasons set out in this Final Notice, the FSA is taking action against Peter Lea trading as Peter Lea Financial Management

315. Final Notice 2017: Philip Gee [pdf]

     Final notices Published: 29/03/2017
     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.

316. Final Notice 2017: Alan Swift [pdf]

     Final notices Published: 03/03/2017
     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.

317. Final Notice 2022: Simon Tyson [pdf]

     Final notices Published: 06/10/2022
     This Final Notice (Simon Tyson) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial penalty

318. Final notice 2016: Nasser Yusuf trading as Advance Money Management [pdf]

     Final notices Published: 09/05/2016 Last modified: 09/05/2016
     This final notice refers to breaches of COND related to Threshold conditions in the consumer credit sector. We imposed a refusal.

319. FSA Final Notice 2012: Baronworth (Investment Services) Limited (in liquidation) [pdf]

     Final notices Published: 19/12/2012 Last modified: 14/06/2014
     For the reasons set out in this Final Notice, the FSA is taking action against Baronworth (Investment Services) Limited (in liquidation)

320. Final Notice 2022: MHM Plant Group Limited [pdf]

     Final notices Published: 18/11/2022
     This final notice (MHM Plant Group Limited) refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation.