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Showing 1961 to 1970 of 7095 search results for final notice.

  1. Final Notice 2016: Bathesafely Limited [pdf]

    Final notices Published: 06/09/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  2. Final Notice 2023: Andrew John Deeney [pdf]

    Final notices Published: 28/09/2023
    This Final Notice (Andrew John Deeney) refers to breaches of APER 1 related to the provision of unsuitable defined benefit pension transfer advice in the pensions and investments sector. We imposed a financial penalty and prohibition.

  3. Final Notice 2015: Sam Thomas Kenny [pdf]

    Final notices Published: 13/03/2015 Last modified: 13/03/2015
    This final notice refers to breaches of APER 1 and APER 7 related to unfair treatment of customers, mis-selling, lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

  4. Final notice 2016: Colin J McIntosh [pdf]

    Final notices Published: 01/02/2016 Last modified: 01/02/2016
    This final notice refers to breaches of APER 1, APER 4, APER 7, FIT and CASS related to appointed representatives, client money, failing to act on information appropriately, failing to be open and co-operative, lack of fitness/propriety and unfair

  5. FCA Final Notice 2014: Deutsche Bank AG (“Deutsche”) [pdf]

    Final notices Published: 28/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of SUP 17 related to transaction reporting in the investment bank sector. We imposed a fine.

  6. FSA Final Notice 2011: The Connew Alliance Limited [pdf]

    Final notices Published: 25/05/2011 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against The Connew Alliance Limited

  7. Final Notice 2018: Barot Bros (Bhupatsinh Barot trading as) [pdf]

    Final notices Published: 21/09/2018
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  8. FCA Final Notice 2014: David John Hobbs [pdf]

    Final notices Published: 25/02/2014 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the building societies and investment banks sector. We imposed a prohibition.

  9. Final Notice 2018: Bauman Ltd [pdf]

    Final notices Published: 10/10/2018
    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. Final Notice 2018: Denis Ward [pdf]

    Final notices Published: 25/09/2018
    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.
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