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Showing 2021 to 2030 of 7095 search results for final notice.

  1. Final Notice 2019: Mark Dobson [pdf]

    Final notices Published: 21/06/2019
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the retail banking sector. We imposed a prohibition.

  2. Final Notice 2021: Anthony George [pdf]

    Final notices Published: 24/09/2021
    This Final Notice (Anthony George) refers to breaches of FIT relating to a lack of fitness/propriety and failing to be open and co-operative in the life insurance and mortgages sector. We imposed a prohibition and a public censure.

  3. FSA Final Notice 2004: Allied Capital (UK) Limited [pdf]

    Final notices Published: 01/07/2004 Last modified: 14/06/2014
    FSA Final Notice 2004: Allied Capital (UK) Limited

  4. FSA Final Notice 2007: Palani Jegatheeswaran [pdf]

    Final notices Published: 06/12/2007 Last modified: 14/06/2014
    FSA Final notice 2007: Palani Jegatheeswaran - 6 December 2007

  5. Final Notice: Wajid Qayum [pdf]

    Final notices Published: 02/10/2019
    This final notice (Wajid Qayum) 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.

  6. FSA Final Notice 2004: Inter-Alliance (Group Practices) Limited [pdf]

    Final notices Published: 01/10/2004 Last modified: 14/06/2014
    FSA Final Notice 2004: Inter-Alliance (Group Practices) Limited

  7. FSA Application Refusal 2005: T H Clarke [pdf]

    Final notices Published: 01/05/2005 Last modified: 14/06/2014
    FSA Application Refusal 2005: T H Clarke

  8. FSA Application Refusal 2005: C J Davies Ltd [pdf]

    Final notices Published: 01/05/2005 Last modified: 14/06/2014
    FSA Application Refusal 2005: C J Davies Ltd

  9. Final Notice 2022: Stephen John Tomlin [pdf]

    Final notices Published: 06/10/2022
    This Final Notice (Stephen John Tomlin) refers to breaches of APER 7 and APER 6 related to the failure to ensure compliance oversight and compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article

  10. FSA Final Notice 2012: Christian Littlewood [pdf]

    Final notices Published: 31/05/2012 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Christian Littlewood
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