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Showing 2131 to 2140 of 7095 search results for final notice.

2131. Final Notice 2019: Freddy David [pdf]

      Final notices Published: 15/05/2019
      This final notice refers to breaches of FIT related to financial crime (Freddy David), client money/assets and a lack of fitness and propriety in the investment adviser sector. We imposed a prohibition.

2132. Final Notice 2018: MTS Automotive (Manchester to Southampton LTD) [pdf]

      Final notices Published: 12/02/2018
      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.

2133. FSA Final Notice 2011: Rockingham Independent Limited [pdf]

      Final notices Published: 15/08/2011 Last modified: 14/06/2014
      For the reasons set out in this Final Notice, the FSA is taking action against Rockingham Independent Limited

2134. Final Notice 2019: Transway Ltd [pdf]

      Final notices Published: 30/07/2019
      This final notice (Transway Ltd) refers to a failure to satisfy the conditions of registration as a small payment institution under the Payment Services Regulations 2017, in relation to an application for re-registration under those same regulations.

2135. Final Notice 2022: Evest Limited [pdf]

      Final notices Published: 18/01/2022
      This Final Notice (Evest Limited) refers to a failure to satisfy the effective supervision and suitability threshold conditions (COND) and to be open and co-operative with the Authority (PRIN 11) in relation to a firm within the TPR. We imposed a

2136. Final Notice 2020: Simon Charles Oakley [pdf]

      Final notices Published: 21/09/2020 Last modified: 21/09/2020
      This Final Notice (Simon Charles Oakley) refers to breaches of FIT by a financial adviser. We imposed a prohibition.”

2137. FSA Application Refusal 2005: Maqbool Javed Ahmed [pdf]

      Final notices Published: 01/04/2005 Last modified: 14/06/2014
      FSA Application Refusal 2005: Maqbool Javed Ahmed - FINAL NOTICE

2138. FCA Final Notice 2014: Anthony Verrier [pdf]

      Final notices Published: 29/01/2014 Last modified: 07/04/2015
      This final notice refers to breaches of FIT related to lack of fitness and propritey in the trading firms sector. We imposed a prohibition.

2139. FCA Final Notice 2014: Ian Charles Hannam [pdf]

      Final notices Published: 22/07/2014 Last modified: 07/04/2015
      This final notice refers to breaches of MAR related to market abuse in the investment banks sector. We imposed a fine.

2140. Final Notice 2018: Uvenco Limited [pdf]

      Final notices Published: 25/06/2018
      This final notice