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Showing 641 to 650 of 6299 search results for This final notice.

  1. Final Notice 2017: Ashton Patterson [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.

  2. Final notice 2016: Lynda Jayne Croome [pdf]

    Final notices Published: 08/01/2016 Last modified: 08/01/2016
    This final notice refers to the Authority’s objection to an acquisition under section 186 (a) FSMA based on an assessment made in accordance with section 185 FSMA that the acquirer lacked suitability.

  3. FSA Final Notice 2011: Barclays Capital Securities Limited (Barclays Capital or the Firm) [pdf]

    Final notices Published: 26/01/2011 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Barclays Capital Securities Limited (Barclays Capital or the Firm)

  4. FCA Final Notice 2014: David Gillespie [pdf]

    Final notices Published: 09/10/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 1 and APER 6 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition.

  5. Final Notice 2016: Warmcool Limited [pdf]

    Final notices Published: 13/12/2016
    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.

  6. Final Notice 2024: Clive Harris Mongelard [pdf]

    Final notices Published: 12/07/2024
    “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: Kiskidee Limited [pdf]

    Final notices Published: 19/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  8. FSA Final Notice 2011: First Call [pdf]

    Final notices Published: 17/06/2011 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against First Call

  9. FSA Final Notice 2011: Alistair Curren [pdf]

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

  10. Final Notice 2023: Columbus Legal Limited [pdf]

    Final notices Published: 23/05/2023
    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 General Insurance and investment adviser sector. We imposed a cancellation.
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