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Showing 2611 to 2620 of 7095 search results for final notice.

  1. FSA Final Notice 2013: Susan McKenzie Beaumont 14th Jan 02 [pdf]

    Final notices Published: 14/01/2013 Last modified: 31/05/2013
    For the reasons set out in this Final Notice, the FSA is taking action against Susan McKenzie Beaumont 14th Jan 02

  2. Final Notice 2022: Automotive Capital Management Limited [pdf]

    Final notices Published: 21/10/2022
    This final notice refers to a failure to satisfy the appropriate resources (non-financial) and suitability threshold conditions and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.

  3. Investment Firms Prudential Regime (IFPR)

    Firms Focus areas Published: 28/06/2021 Last modified: 27/06/2024
    The IFPR is our new prudential regime for MiFID investment firms. The regime came into force on 1 January 2022.

  4. FCA Final Notice 2013: Kuya J’s Filipino Store Limited [pdf]

    Final notices Published: 02/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PSR related to failing to be open and co-operative in the

  5. Final Notice 2020: Sultan Exchange Ltd [pdf]

    Final notices Published: 24/07/2020
    This final notice (Sultan Exchange Ltd.) refers to a failure to provide the information considered necessary to determine the application. We refused the firm’s application for authorisation.

  6. Final Notice 2022: Matza & Co Limited [pdf]

    Final notices Published: 15/02/2022
    This final notice refers to a failure to satisfy the effective supervision threshold condition (COND) in the consumer credit sector. We imposed a cancellation.

  7. Further Final Notice 2020: Robert Ian Shaw [pdf]

    Final notices Published: 23/03/2020
    This Final Notice (Robert Ian Shaw) refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety and conflicts of interest in the Investment Adviser and Pensions sector. We imposed a financial penalty, a prohibition and

  8. Final notice 2016: Yswiriant Celtic Insurance [pdf]

    Final notices Published: 08/03/2016 Last modified: 08/03/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector. We imposed a cancellation.

  9. Final Notice 2019: BHP Leasing Ltd [pdf]

    Final notices Published: 04/10/2019
    This final notice (BHP Leasing 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.

  10. Final Notice 2017: Car For Today 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.
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