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Showing 491 to 500 of 6296 search results for This final notice.

  1. Final Notice 2017: Glen Eagleson [pdf]

    Final notices Published: 21/02/2017
    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.

  2. Final Notice 2015: Eldonian Group Ltd [pdf]

    Final notices Published: 17/06/2015 Last modified: 17/06/2015
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

  3. Final Notice 2017: Sujeel Ranjha [pdf]

    Final notices Published: 09/01/2017
    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.

  4. Final notice 2016: Peter Charles Johnson [pdf]

    Final notices Published: 31/08/2016 Last modified: 31/08/2016
    This final notice refers to breaches of FIT related to benchmarks, a lack of fitness/propriety and wholesale conduct in the retail bank sector. We imposed a prohibition.

  5. Final Notice 2021: Derek Hamilton [pdf]

    Final notices Published: 12/02/2021
    This final notice (Derek Hamiliton) 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.

  6. FCA Final Notice 2014: David Welsby [pdf]

    Final notices Published: 09/10/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 1 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition.

  7. FSA Final Notice 2012: Paulo Monteiro trading as Bunn & Co [pdf]

    Final notices Published: 10/05/2012 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Paulo Monteiro trading as Bunn & Co

  8. Final Notice 2017: Stephen Moore [pdf]

    Final notices Published: 31/03/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  9. FCA Final Notice 2014: Mark Stevenson [pdf]

    Final notices Published: 20/03/2014 Last modified: 07/04/2015
    This final notice refers to breaches of MAR related to market abuse in the investment banks sector. We imposed a fine and prohibition.

  10. Final Notice: Kathryn Clark [pdf]

    Final notices Published: 25/10/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition and withdrawal.
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