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Showing 2271 to 2280 of 7095 search results for final notice.

  1. Final Notice 2017: Keith Pringle [pdf]

    Final notices Published: 10/05/2017
    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.

  2. Final Notice 2017: Seclo Limited [pdf]

    Final notices Published: 09/05/2017
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

  3. Final Notice 2017: Woodworks (Derby) Ltd [pdf]

    Final notices Published: 24/05/2017
    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.

  4. Final notice 2016: Ray Alexander Wilson [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.

  5. Final Notice 2016: Dale Robert Walker [pdf]

    Final notices Published: 01/11/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  6. Final Notice 2017: Deutsche Bank [pdf]

    Final notices Published: 31/01/2017
    This final notice refers to breaches of PRIN 3 and SYSC related to culture/governance and financial crime in the investment bank sector. We imposed a fine.

  7. Final Notice 2017: Jonathan David Lee [pdf]

    Final notices Published: 14/03/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  8. Final Notice 2017: Lyndon Alun Davies [pdf]

    Final notices Published: 03/03/2017
    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.

  9. Final Notice 2019: William Nelson [pdf]

    Final notices Published: 22/11/2019
    This final notice (William Nelson) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  10. Final Notice 2015: Kweku Mawuli Adoboli [pdf]

    Final notices Published: 16/10/2015 Last modified: 16/10/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment bank sector. We imposed a prohibition.
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