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Showing 881 to 890 of 6299 search results for This final notice.

  1. FSA Final Notice 2013: George Leavey [pdf]

    Final notices Published: 01/03/2013 Last modified: 31/05/2013
    For the reasons set out in this Final Notice, the FSA is taking action against George Leavey

  2. FSA Final Notice 2011: Rockingham Independent Limited [pdf]

    Final notices Published: 15/08/2011 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Rockingham Independent Limited

  3. Final Notice 2021: Michael John Dwane [pdf]

    Final notices Published: 01/03/2021
    This final notice Michael John Dwane refers to a failure to satisfy the effective supervision threshold condition (COND) and the suitability threshold condition (COND). We refused the firm’s application for authorisation.

  4. FCA Final Notice 2013: Mark Bentley-Leek [pdf]

    Final notices Published: 18/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of APER 1 and 7 related to mis-selling, lack of fitness and propriety, and conflicts of interest in the investment advisors and platforms sector. We imposed a prohibition, withdrawal and a fine .

  5. Final Notice 2019: Transway Ltd [pdf]

    Final notices Published: 30/07/2019
    This final notice (Transway Ltd) refers to a failure to satisfy the conditions of registration as a small payment institution under the Payment Services Regulations 2017, in relation to an application for re-registration under those same regulations.

  6. FSA Final Notice 2011: Associated Independent Mortgages Limited [pdf]

    Final notices Published: 05/01/2011 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Associated Independent Mortgages Limited

  7. Final notice 2020: Epos Up Limited [pdf]

    Final notices Published: 28/01/2020
    This final notice (Epos Up Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  8. Final Notice 2015: EDS Insure Limited [pdf]

    Final notices Published: 25/06/2015 Last modified: 25/06/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  9. FSA Final Notice 2012: Alasdair Samuel Munro [pdf]

    Final notices Published: 01/03/2012 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FCA is taking action against For the reasons set out in this Final Notice, the FSA is taking action against Samuel Munro

  10. Final Notice 2018: Angela Burns [pdf]

    Final notices Published: 14/12/2018
    This final notice (Angela Burns) refers to breaches by a non-executive director of APER 1 for failing to declare conflicts of interest and FIT for lack of fitness/propriety. We imposed a fine and prohibition.
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