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Showing 1981 to 1990 of 7095 search results for final notice.

1981. Final Notice 2024: Arthur Jonathan Cobill [pdf]

      Final notices Published: 11/03/2024
      This Final Notice (Arthur Jonathan Cobill) refers to a breach of APER Statement of Principle 2 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition. It has been

1982. Final Notice 2022: Sir Christopher Gent [pdf]

      Final notices Published: 05/08/2022 Last modified: 12/08/2022
      This Final Notice (Sir Christopher Gent) refers to breaches of the Market Abuse Regulations related to unlawful disclosure of inside information in the issuers sector. We imposed a financial penalty

1983. FSA Final Notice 2003: Chartertrack Financial Services Limited [pdf]

      Final notices Published: 01/09/2003 Last modified: 14/06/2014
      FSA Final Notice 2003: Chartertrack Financial Services Limited

1984. FSA Final Notice 2008: Mr Stuart Malcolm Lawton [pdf]

      Final notices Published: 02/09/2008 Last modified: 14/06/2014
      FSA Final Notice 2008: Mr Stuart Malcolm Lawton

1985. FSA Final Notice 2002: Allan Austin Investment Services [pdf]

      Final notices Published: 01/12/2002 Last modified: 14/06/2014
      FSA Final Notice 2002: Allan Austin Investment Services

1986. FSA Final Notice 2004: Allied Dunbar Assurance plc [pdf]

      Final notices Published: 01/03/2004 Last modified: 14/06/2014
      FSA Final Notice 2004: Allied Dunbar Assurance plc

1987. FSA Final Notice 2012: The Portobello Partnership [pdf]

      Final notices Published: 27/02/2012 Last modified: 14/06/2014
      For the reasons set out in this Final Notice, the FSA is taking action against The Portobello Partnership

1988. FSA Final Notice 2012: 3 Old Brothers Limited [pdf]

      Final notices Published: 15/08/2012 Last modified: 14/06/2014
      For the reasons set out in this Final Notice, the FSA is taking action against 3 Old Brothers Limited

1989. FSA Final Notice 2007: Toronto Dominion Bank (London Branch) [pdf]

      Final notices Published: 16/11/2007 Last modified: 14/06/2014
      FSA Final Notice 2007: Toronto Dominion Bank (London Branch)

1990. FSA Final Notice 2007: Mr Nigel Roy Thomas Layton [pdf]

      Final notices Published: 15/05/2007 Last modified: 14/06/2014
      FSA Final Notice 2007: Mr Nigel Roy Thomas Layton