Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 651 to 660 of 6299 search results for This final notice.

  1. FCA Final Notice 2014: Financial Limited [pdf]

    Final notices Published: 23/07/2014 Last modified: 13/03/2015
    This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction.

  2. FCA Final Notice 2014: Vasavan Thambhiah [pdf]

    Final notices Published: 20/06/2014 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.

  3. 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.

  4. Final notice 2016: Tellaw (UK) Limited [pdf]

    Final notices Published: 17/08/2016
    This final notice refers to breaches of the Electronic Money Regulations 2011, Regulation 13, related to initial capital, business plan, safeguarding, lack of fitness and propriety, and failing to be open and co-operative with the Authority. We

  5. FSA Final Notice 2008: Rukhsana Malik [pdf]

    Final notices Published: 02/12/2011 Last modified: 30/05/2013
    For the reasons set out in this Final Notice, the FSA is taking action against Rukhsana Malik.

  6. FSA Final Notice 2010: Barry Williams [pdf]

    Final notices Published: 02/12/2011 Last modified: 30/05/2013
    For the reasons set out in this Final Notice, the FSA is taking action against Barry Williams.

  7. Final Notice 2018: Neil Danziger [pdf]

    Final notices Published: 08/01/2018
    This final notice refers to breaches of PRIN 5 and FIT related to benchmarks, lack of fitness/propriety and wholesale conduct in the investment bank sector. We imposed a fine and prohibition.

  8. Final Notice 2023: DMA Developments Ltd [pdf]

    Final notices Published: 07/12/2023
    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 consumer credit sector. We imposed a cancellation.

  9. Final notice 2015: Vroni O'Brien [pdf]

    Final notices Published: 17/12/2015 Last modified: 17/12/2015
    This final notice refers to breaches of APER 2, APER 7, FIT and CASS related to a lack of fitness/propriety, client money/assets and failing to act on information appropriately in the general insurance and protection sector. We imposed a fine and

  10. FSA Final Notice 2010: Susan Adele Cummings [pdf]

    Final notices Published: 02/12/2011 Last modified: 30/05/2013
    For the reasons set out in this Final Notice, the FSA is taking action against Susan Adele Cummings.
Related topics