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Showing 2181 to 2190 of 7095 search results for final notice.

  1. Final Notice 2024: Link Fund Solutions Limited [pdf]

    Final notices Published: 11/04/2024
    This Final Notice refers to a failure by Link Fund Solutions Limited to act with due skill, care and diligence in carrying out its role as Authorised Corporate Director of the Woodford Equity Income Fund. We imposed a requirement to pay restitution

  2. Final Notice 2020: Leigh Osborne (trading as Snap-on, Snap-on Diagnostics, Snap-on Tools) [pdf]

    Final notices Published: 13/11/2020 Last modified: 13/11/2020
    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.

  3. Final Notice 2020: John Richards [pdf]

    Final notices Published: 12/02/2020
    This final notice (John Richards) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  4. Final Notice 2020: Dale Woodward [pdf]

    Final notices Published: 15/05/2020
    This final notice (Dale Woodward) 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 Approved Person Refusals 2012: Mohamed Arfaan Mughal [pdf]

    Final notices Published: 14/03/2012 Last modified: 14/06/2014
    FSA Approved Person Refusals 2012: Mohamed Arfaan Mughal

  6. FSA Application Refusal 2012: Complete Cover Limited [pdf]

    Final notices Published: 14/03/2012 Last modified: 14/06/2014
    FSA Application Refusal 2012: Complete Cover Limited

  7. FSA Approved Person Refusals 2012: Stephen Herbert Danner [pdf]

    Final notices Published: 20/07/2012 Last modified: 14/06/2014
    FSA Approved Person Refusals 2012: Stephen Herbert Danner

  8. Final notice 2016: EVS Trading Limited [pdf]

    Final notices Published: 27/01/2016 Last modified: 27/01/2016
    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.

  9. Final Notice 2015: Paivi Grigg [pdf]

    Final notices Published: 11/12/2015 Last modified: 17/12/2015
    This final notice refers to breaches of APER 6 related to appointed representatives, culture/governance and unfair treatment of customers in the investment adviser sector . We imposed a fine.

  10. Final Notice 2017: Electronicoutlets [pdf]

    Final notices Published: 09/10/2017
    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
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