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Showing 5251 to 5260 of 7124 search results for final notice.

  1. FCA further decision notice 2016: Tariq Carrimjee [pdf]

    Decision notices Published: 05/02/2016 Last modified: 23/02/2016
    This further decision notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. Our view is that a prohibition should be imposed.

  2. FCA Decision Notice 2016: Alistair Rae Burns [pdf]

    Decision notices Published: 01/12/2016
    This decision notice refers to breaches of APER 7 and FIT related to conflicts of interest, a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. Our view is that a fine, prohibition and withdrawal should be

  3. Notice of Decision 2024: Brookfield Garage Limited [pdf]

    Decision notices Published: 23/04/2024
    This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation.

  4. Notice of Decision 2024: Digitalaura Solutions Ltd [pdf]

    Decision notices Published: 08/05/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  5. Decision Notice 2022: Ghana International Bank plc [pdf]

    Decision notices Published: 23/06/2022
    This Decision Notice (Ghana International Bank plc) refers to breaches of the Money Laundering Regulations 2007 related to financial crime in the Corporate Banks sector. We imposed a financial penalty.

  6. Notice of Decision 2024:Copymark (Services) Limited [pdf]

    Decision notices Published: 18/04/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  7. November Handbook Notice [pdf]

    Handbook Published: 03/11/2012 Last modified: 25/06/2013

  8. Notice of Decision 2023: Michael Wenman Limited [pdf]

    Decision notices Published: 06/09/2023 Last modified: 23/10/2023
    This Notice of Decision (Michael Wenman Limited) refers to a failure to carry on regulated activities. We imposed a cancellation.

  9. Firm handling of complaints during coronavirus

    Firms Published: 01/05/2020 Last modified: 12/05/2021
    Find out about how firms should handle complaints during coronavirus.

  10. FSA Supervisory Notice 2008: The Millbank Consultancy Limited [pdf]

    Supervisory notices Published: 01/01/2008 Last modified: 14/06/2014
    FSA Supervisory Notice 2008: The Millbank Consultancy Limited
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