Search results
Showing 2411 to 2420 of 3284 search results for This final notice refers.
-
Decision Notice: Jin-Yi Lee [pdf]
This decision notice (Jin-Yi Lee) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. Our view is that a fine should be imposed. -
FSA Final Notice 2013: George Leavey [pdf]
For the reasons set out in this Final Notice, the FSA is taking action against George Leavey -
FCA Decision Notice 2016: Alistair Rae Burns [pdf]
This decision notice refers to breaches of APER 7 and FIT related to conflicts of interest, a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. Our view is that a fine, prohibition and withdrawal should be -
FSA Final Notice 2011: Rockingham Independent Limited [pdf]
For the reasons set out in this Final Notice, the FSA is taking action against Rockingham Independent Limited -
Notice of Decision 2023: Abigail Investment Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
FSA Final Notice 2011: Associated Independent Mortgages Limited [pdf]
For the reasons set out in this Final Notice, the FSA is taking action against Associated Independent Mortgages Limited -
FSA Final Notice 2012: The Portobello Partnership [pdf]
For the reasons set out in this Final Notice, the FSA is taking action against The Portobello Partnership -
FSA Final Notice 2012: Malcolm Thomas Shapcott trading as Independent Solutions [pdf]
For the reasons set out in this Final Notice, the FSA is taking action against Malcolm Thomas Shapcott trading as Independent Solutions -
FCA Decision Notice 2015: Stewart Owen Ford [pdf]
This decision notice refers to breaches of APER 1, APER 4, FIT related to mis-selling, failing to be open and co-operative, lack of fitness/propriety, conflicts of interests, failing to act on information appropriately in the Asset Management sector. -
Notice of Decision 2024: Headstone Associates Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.