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Showing 5291 to 5300 of 7129 search results for final notice.

5291. Notice of Decision 2023: Michael Joseph Bentley [pdf]

      Decision notices Published: 03/08/2023
      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

5292. Decision Notice: Jin-Yi Lee [pdf]

      Decision notices Published: 31/05/2019
      This decision notice (Jin-Yi Lee) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. Our view is that a fine should be imposed.

5293. FSA Decision Notice 2012: Mr Anthony Verrier [pdf]

      Decision notices Published: 28/03/2012 Last modified: 14/06/2014
      FSA Decision Notice 2012: Mr Anthony Verrier

5294. Decision Notice 2017: Church Hill Finance (Anthony Badaloo trading as) [pdf]

      Decision notices Published: 03/02/2017
      This decision notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the investment adviser sector. Our view is that a cancellation should be imposed.

5295. Decision Notice: Aiden Henderson (Director of HCA) [pdf]

      Decision notices Published: 09/05/2019
      This decision notice (Aiden Henderson (Director of HCA)) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that

5296. Confirmed Industry Guidance

      Tasks for regulated firms Published: 13/05/2015 Last modified: 08/02/2023
      Industry Guidance will be of interest to firms wishing to follow Industry Guidance, guidance producers wishing to seek confirmation, and consumers wanting to understand the purpose of Industry Guidance

5297. Partnership - Notification for Change in Controller (Section 178 notice) [doc]

      Forms Published: 01/04/2013 Last modified: 23/06/2022
      This form should be completed by a partner of a partnership that wishes to acquire control or to increase control in a firm or in a parent undertaking of the firm

5298. Notice of Decision 2024: Switch Cars 24/7 Ltd [pdf]

      Decision notices Published: 13/06/2024
      This Notice of Decision refers to a failure to carry on regulated activity. We imposed a Cancellation.

5299. Regulating high frequency trading

      Speeches Published: 04/06/2014 Last modified: 04/06/2014
      Speech by Martin Wheatley, CEO, the FCA, at the Global Exchange and Brokerage Conference, New York. This is the text of the speech as drafted, which may differ from the delivered version.

5300. Innovation and improving outcomes

      Speeches Published: 17/06/2016 Last modified: 17/06/2016
      Speech by Christopher Woolard, Director of Strategy and Competition, delivered at the Global Digital Banking Conference on 16 June 2016 in London.