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Showing 1951 to 1960 of 7095 search results for final notice.

  1. FSA Final Notice 2012: Mortgages Mortgages [pdf]

    Final notices Published: 12/06/2012 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Mortgages Mortgages

  2. Final notice 2016: Treviso Coffee Co Limited [pdf]

    Final notices Published: 03/03/2016 Last modified: 03/03/2016
    This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  3. Final Notice 2015: Paul Reynolds [pdf]

    Final notices Published: 20/05/2015 Last modified: 20/05/2015
    This final notice refers to breaches of APER 1 and FIT related to mis-selling and failing to be open and co-operative in the investment advisor sector. We imposed a fine and a prohibition.

  4. Final Notice 2019: CTS101 Ltd [pdf]

    Final notices Published: 01/08/2019
    This final notice (CTS101 Ltd) 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.

  5. FSA Final Notice 2009: Iseolorunpo James Adegboye trading as Addison James & Co. [pdf]

    Final notices Published: 19/02/2009 Last modified: 14/06/2014
    FSA Final Notice 2009: Iseolorunpo James Adegboye trading as Addison James & Co.

  6. Final Notice 2024: Chrome Autos Limited [pdf]

    Final notices Published: 15/01/2024
    This final notice 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.

  7. Final Notice 2015: Robin Farrell [pdf]

    Final notices Published: 31/03/2015 Last modified: 31/03/2015
    This final notice refers to breaches of APER 1 and APER 7 related to conflicts of interests and lack of fitness/propriety in the investment advisor sector. We imposed a fine, withdrawal and prohibition.

  8. 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.

  9. Final Notice 2019: Dean Woods [pdf]

    Final notices Published: 22/02/2019
    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.

  10. FSA Final Notice 2013: EFG Private Bank Ltd [pdf]

    Final notices Published: 28/03/2013 Last modified: 31/05/2013
    For the reasons set out in this Final Notice, the FSA is taking action against EFG Private Bank Ltd
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