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Showing 511 to 520 of 6296 search results for This final notice.

  1. Final Notice 2017: Lukhvir Thind [pdf]

    Final notices Published: 07/04/2017
    This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition.

  2. Final Notice 2023: Autofinch Limited [pdf]

    Final notices Published: 27/07/2023
    This final notice (Autofinch Limited) 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.

  3. FCA Final Notice 2014: Paul Catterall [pdf]

    Final notices Published: 19/06/2014 Last modified: 07/04/2015
    This final notice refers to breaches of COND related to threshold conditions, and lack of fitness/propriety in the general insurance and protection sector. We imposed a refusal.

  4. FCA Final Notice 2014: Mohammed Hasan trading as Baba Money [pdf]

    Final notices Published: 02/06/2014 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 systems sector. We imposed a cancellation.

  5. FSA Final Notice 2011: 4Front Car Sales limited [pdf]

    Final notices Published: 12/04/2011 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against 4Front Car Sales limited

  6. FSA Final Notice 2012: Andrew Osborne [pdf]

    Final notices Published: 15/02/2012 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Andrew Osborne

  7. FSA Final Notice 2011: Julian Harris [pdf]

    Final notices Published: 04/11/2011 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Julian Harris

  8. FSA Final Notice 2012: David Einhorn [pdf]

    Final notices Published: 15/02/2012 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against David Einhorn

  9. FSA Final Notice 2011: Daniel Hassell [pdf]

    Final notices Published: 09/02/2011 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Daniel Hassell

  10. FSA Final Notice 2012: Jose Quiambao [pdf]

    Final notices Published: 30/05/2012 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Jose Quiambao
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