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Showing 521 to 530 of 7087 search results for final notice.

521. FSA Final Notice 2006: The Ancient Order of Foresters Friendly Society Limited [pdf]

     Final notices Published: 25/08/2006 Last modified: 14/06/2014
     FSA Final Notice 2006: The Ancient Order of Foresters Friendly Society Limited

522. Final Notice 2024: Clint Canning (AKA Christian Beauchamp AKA Clint Foster) [pdf]

     Final notices Published: 16/02/2024
     This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

523. FSA Application Refusal 2012: Yan International [pdf]

     Final notices Published: 29/08/2012 Last modified: 14/06/2014
     FSA Application Refusal 2012: Yan International

524. FSA Approved Person Refusals 2008: Mr A [pdf]

     Final notices Published: 01/02/2008 Last modified: 14/06/2014
     FSA Approved Person Refusals 2008: Mr A

525. Final Notice 2022: Simon Tyson [pdf]

     Final notices Published: 06/10/2022
     This Final Notice (Simon Tyson) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial penalty

526. FCA Final Notice 2013: John Douglas Leslie [pdf]

     Final notices Published: 26/07/2013 Last modified: 07/04/2015
     This final notice refers to breaches of APER 6 related to misselling, lack of fitness/propriety in the investment advisers and platforms sector. We imposed a fine and a prohibition order.

527. FCA Final Notice 2013: John Dixon [pdf]

     Final notices Published: 03/06/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

528. Final Notice 2017: Ian Foden [pdf]

     Final notices Published: 23/06/2017
     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.

529. FCA Final Notice 2013: Omar Sohail Zaman (trading as Worldwide Money Exchange) [pdf]

     Final notices Published: 07/08/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation.

530. FSA Final Notice 2010: Jeremy Burley [pdf]

     Final notices Published: 19/07/2010 Last modified: 14/06/2014
     FSA Final Notice 2010: Jeremy Burley