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Showing 5161 to 5170 of 7121 search results for final notice.
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Decision Notice 2022: Jorge Lopez Gonzalez [pdf]
This Decision Notice refers to breaches of Market Abuse Regulations and Financial Services and Markets Act 2000 related to market abuse and market manipulation in the Investment Bank sector. Our view is that a financial penalty and a prohibition -
Notice of Decision 2024: Stephen Edward Jeffery [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2023: Fast Lane Motors NI [pdf]
Conduct: Failing to carry on regulated activities Breaches: N/A Subject: Firm Outcome: Cancellation Sector: -
Notice of Decision 2023: Gordon John Stamper [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Decision Notice 2023: Darren Antony Reynolds [pdf]
This Decision Notice (Darren Antony Reynolds) refers to breaches of APER 1 and FIT related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. Our view is that a financial penalty and prohibition should be -
Voluntary Application for Imposition of Requirement: Wonga Group Limited (2 October 2014) [pdf]
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Notice of Decision 2023: RGS Forfar Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Investment Firms Prudential Regime final rules published
We have made final rules to streamline and simplify prudential requirements for solo-regulated UK firms authorised under MiFID. -
Notice of Decision 2024: Click Capital Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
FSA Supervisory Notice 2008: Millbank Mortgages Limited [pdf]
FSA Supervisory Notice 2008: Millbank Mortgages Limited