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Showing 3601 to 3610 of 4713 search results for final notice refers.

  1. Decision Notice 2022: Carillion (in liquidation) [pdf]

    Decision notices Published: 28/07/2022
    The Decision Notice (Carillion (in liquidation)) refers to breaches of the Market Abuse Regulations and Listing Rules, within the issuer’s sector. Our view is that a public censure should be imposed.

  2. Decision Notice 2023: David Edward Weller [pdf]

    Decision notices Published: 05/05/2023
    This Decision Notice (David Edward Weller) refers to breach of Conduct Rule 1 (COCON 2.1.1R) related to failing to act with integrity in the private banking sector. Our view is that a financial penalty of £54,000 and prohibition should be imposed.

  3. FSA Approved Person Refusals 2007: Apsley Homes and Policylink ("AHPL") and Mrs Heather Loughrey ("Mrs Loughrey") [pdf]

    Final notices Published: 01/08/2007 Last modified: 14/06/2014
    FSA Approved Person Refusals 2007: Apsley Homes and Policylink ("AHPL") and Mrs Heather Loughrey ("Mrs Loughrey")

  4. Notice of Decision 2024: SheeWater Home Limited [pdf]

    Decision notices Published: 22/04/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  5. Notice of Decision 2024: Efficiency Boilers Ltd [pdf]

    Decision notices Published: 22/04/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  6. Personal data and Financial Lives survey

    Last modified: 01/02/2024
    This privacy notice explains what personal data the FCA collects during the Financial Lives survey and how and why it uses the information as part of its regulatory work.

  7. Decision Notice 2023: Banque Havilland SA [pdf]

    Decision notices Published: 05/05/2023
    This Decision Notice (Banque Havilland SA) refers to breach of Principle 1 related to failing to conduct its business with integrity in the private banking sector. Our view is that a financial penalty of £10,000,000 should be imposed.

  8. Decision Notice 2022: Richard John Howson [pdf]

    Decision notices Published: 28/07/2022
    The Decision Notice (Richard John Howson) refers to knowing concern in breaches of the Market Abuse Regulations and Listing Rules, in the issuer’s sector. Our view is that a financial penalty should be imposed.

  9. FSA Final Notice 2011: Ganesharaj Ganesiah trading as GG Property and Financial Services [pdf]

    Final notices Published: 24/05/2011 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Ganesharaj Ganesiah trading as GG Property and Financial Services

  10. Notice of Decision 2024: Stephen Edward Jeffery [pdf]

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