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Showing 2601 to 2610 of 7095 search results for final notice.

2601. FSA Final Notice 2012: World Currency Exchange Limited [pdf]

      Final notices Published: 24/07/2012 Last modified: 14/06/2014
      For the reasons set out in this Final Notice, the FSA is taking action against World Currency Exchange Limited

2602. Final Notice 2017: Home Systems AV LLP [pdf]

      Final notices Published: 31/03/2017
      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.

2603. Final Notice 2018: Bouchers with Allansons Limited [pdf]

      Final notices Published: 05/04/2018
      This final notice (Bouchers with Allansons Limited) refers to failure to keep adequate records under SYSC 9.1.1R, meaning the FCA cannot satisfy itself as to the adequacy of debt advice. Other concerns include: deficient quality assurance process;

2604. FSA Application Refusal 2005: Homebuyers (West Country) Limited [pdf]

      Final notices Published: 01/10/2005 Last modified: 14/06/2014
      FSA Application Refusal 2005: Homebuyers (West Country) Limited

2605. Final Notice 2017: Christopher Niehaus [pdf]

      Final notices Published: 30/03/2017
      This final notice refers to breaches of APER 2 related to wholesale conduct in the investment banking sector. We imposed a fine.

2606. Final Notice 2017: Janice Maureen Tomlinson [pdf]

      Final notices Published: 02/05/2017
      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.

2607. Final Notice 2021: Prestige First Ltd [pdf]

      Final notices Published: 16/08/2021
      This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation.

2608. Final notice 2020: SCI Group UK Limited [pdf]

      Final notices Published: 17/04/2020
      This final notice (SCI Group UK Limited) refers to an applicant applying under section 55A of the Financial Services and Markets Act 2000 for Part 4A permission to carry on a regulated activity. The applicant failed to satisfy the Threshold

2609. Final Notice 2015: Barclays Bank PLC - November 2015 [pdf]

      Final notices Published: 26/11/2015 Last modified: 26/11/2015
      This final notice refers to breaches of PRIN 2 related to financial crime failings. We imposed a fine.

2610. FCA Final Notice 2013: Vandana Madhukar Parikh [pdf]

      Final notices Published: 06/08/2013 Last modified: 19/05/2015
      This final notice refers to breaches of APER 2 related to lack of fitness/propriety in the trading firms sector. We imposed a fine.