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Showing 601 to 610 of 6299 search results for This final notice.

601. FSA Final Notice 2013: Susan McKenzie Beaumont Jan 14th 01 [pdf]

     Final notices Published: 14/01/2013 Last modified: 31/05/2013
     For the reasons set out in this Final Notice, the FSA is taking action against Susan McKenzie Beaumont

602. Final Notice 2017: Jeffrey Houston [pdf]

     Final notices Published: 17/05/2017
     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.

603. Final Notice 2017: Mitchell Barney [pdf]

     Final notices Published: 05/05/2017
     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.

604. Final Notice 2023: NMC Health Plc (in Administration) [pdf]

     Final notices Published: 17/11/2023
     This Final Notice refers to breaches of Article 15 EU MAR related to disseminating false and misleading information regarding NMC’s debt positions. We publish a public censure.

605. Final Notice 2016: Phillip Whiffin [pdf]

     Final notices Published: 17/11/2016
     This final notice refers to breaches of PRIN 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

606. FSA Final Notice 2011: Richard David Lindley [pdf]

     Final notices Published: 08/07/2011 Last modified: 14/06/2014
     For the reasons set out in this Final Notice, the FSA is taking action against Richard David Lindley

607. Final Notice 2017: Reuben Anderson [pdf]

     Final notices Published: 24/01/2017
     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.

608. FCA Final Notice 2013: Michael Conway [pdf]

     Final notices Published: 17/12/2013 Last modified: 07/04/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the wealth management and private banking, investment advisers and platforms sector. We imposed a prohibition.

609. FCA Final Notice 2014: Hamd Enterprises Limited [pdf]

     Final notices Published: 19/05/2014 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.

610. Final Notice 2019: UBS AG [pdf]

     Final notices Published: 19/03/2019
     This final notice (UBS AG) refers to breaches of SUP 17, SUP 15 and PRIN 3 related to transaction reporting failures in the investment bank sector. We imposed a fine.