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Showing 721 to 730 of 6299 search results for This final notice.

  1. Final Notice 2020: Peter Howson [pdf]

    Final notices Published: 12/10/2020 Last modified: 12/10/2020
    This Final Notice (Peter Anthony Hoswon) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.

  2. FSA Final Notice 2013: Pave Financial Management Ltd [pdf]

    Final notices Published: 22/03/2013 Last modified: 31/05/2013
    For the reasons set out in this Final Notice, the FSA is taking action against Pave Financial Management Ltd

  3. Final Notice 2022: Cars and Van Sales Ltd [pdf]

    Final notices Published: 23/11/2022
    This final notice (Cars and Van Sales Ltd) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the Credit Broking sector. We refused the firm’s application for authorisation.

  4. FCA Final Notice 2014: Investments 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.

  5. FCA Final Notice 2013: Sovereign Worldwide Limited [pdf]

    Final notices Published: 04/07/2013 Last modified: 07/04/2015
    This final notice refers to breaches of COND related to threshold conditions and mortgage fraud in the investment advisers and platforms sector. We imposed a withdrawal.

  6. FSA Final Notice 2011: Dr Sandradee Joseph [pdf]

    Final notices Published: 22/11/2011 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Dr Sandradee Joseph

  7. FSA Final Notice 2013: The Prudential Assurance Company Limited [pdf]

    Final notices Published: 27/03/2013 Last modified: 31/05/2013
    For the reasons set out in this Final Notice, the FSA is taking action against The Prudential Assurance Company Limited

  8. Final Notice 2020: Aviva plc [pdf]

    Final notices Published: 26/10/2020
    This Final Notice (Aviva plc) refers to breaches of Listing Rule 1.3.3R and Transparency Rule 1A.3.2R related to Listing rules/DTR breaches in the General Insurance and Protection sector. We issued a public censure. File updated with accessibility

  9. FSA Final Notice 2011: Mr Mark Anthony Kelsey [pdf]

    Final notices Published: 16/02/2011 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Mr Mark Anthony Kelsey

  10. Final Notice 2017: Adrian Whitehurst [pdf]

    Final notices Published: 23/10/2017
    This final notice refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. Final Notice: Adrian Whitehurst Conduct: Client money/assets; Lack of fitness/propriety
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