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Showing 2301 to 2310 of 7095 search results for final notice.

2301. Final Notice 2021: Autolegend Ltd [pdf]

      Final notices Published: 21/04/2021
      This final notice (Autolegend Ltd) 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

2302. Final Notice 2015: Kenneth George Carver [pdf]

      Final notices Published: 30/03/2015 Last modified: 30/03/2015
      This final notice refers to breaches of MAR related to market abuse in the issuer sector. We imposed a fine.

2303. Final Notice 2018: UK4REX Limited [pdf]

      Final notices Published: 14/12/2018
      This final notice (UK4REX Limited) refers to breaches of payment services regulations (PSR) related to failing to be open and co-operative in the payment services sector. For the interest and protection of Consumers, we imposed a cancellation.

2304. FSA Approved Person Refusals 2002: Stuart Richard Smith [pdf]

      Final notices Published: 01/06/2002 Last modified: 14/06/2014
      FSA Approved Person Refusals 2002: Stuart Richard Smith

2305. FCA Final Notice 2014: Lloyds Bank plc and Bank of Scotland plc [pdf]

      Final notices Published: 28/07/2014 Last modified: 07/04/2015
      This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and conflicts of interest in the retail banks sector. We imposed a fine.

2306. FSA Approved Person Refusals 2003: Steven Jan Zimmer [pdf]

      Final notices Published: 01/02/2003 Last modified: 14/06/2014
      FSA Approved Person Refusals 2003: Steven Jan Zimmer

2307. FSA Approved Person Refusals 2004: Kevin Michael Ennis [pdf]

      Final notices Published: 01/03/2004 Last modified: 14/06/2014
      FSA Approved Person Refusals 2004: Kevin Michael Ennis

2308. FCA Final Notice 2014: Craig Stuart Cameron [pdf]

      Final notices Published: 29/08/2014 Last modified: 07/04/2015
      This final notice refers to breaches of APER1 and FIT related to lack of fitnes/propriety and unfair treatment of customers in the investment adviser and platform sector. We imposed a fine and a prohibition.

2309. FSA Final Notice 2005: Financial Matters [pdf]

      Final notices Published: 01/02/2005 Last modified: 14/06/2014
      FSA Final Notice 2005: Financial Matters

2310. FSA Final Notice 2011: Specialist Solutions Public Limited Company [pdf]

      Final notices Published: 14/04/2011 Last modified: 14/06/2014
      For the reasons set out in this Final Notice, the FSA is taking action against Specialist Solutions Public Limited Company