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Showing 3651 to 3660 of 4713 search results for final notice refers.

  1. Handbook Release 136

    Handbook Published: 17/04/2013 Last modified: 17/04/2013
    This Release contains pages to be inserted into your paper version of the Handbook in order to bring it up to date. These pages incorporate the changes made on a particular date, as described in the relevant Handbook Notice.

  2. Decision Notice 2023: Edmund Lloyd Rowland [pdf]

    Decision notices Published: 05/05/2023
    This Decision (Edmund Lloyd Rowland) Notice 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 £352,000 and prohibition should be imposed.

  3. FSA Final Notice 2007: Homebuyer Securities Limited [pdf]

    Final notices Published: 19/11/2007 Last modified: 14/06/2014
    FSA Final Notice 2007: Homebuyer Securities Limited

  4. Notice of Decision 2023: Raymond Supplies Ltd [pdf]

    Decision notices Published: 18/10/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We therefore imposed a cancellation.

  5. Credit broking firms: key rules

    Tasks for regulated firms Published: 23/11/2015 Last modified: 16/02/2023
    Read about the key rules for credit broking firms.

  6. FSA Final Notice 2012: 3 Old Brothers Limited [pdf]

    Final notices Published: 15/08/2012 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against 3 Old Brothers Limited

  7. FSA Approved Person Refusals 2012: Mohamed Arfaan Mughal [pdf]

    Final notices Published: 14/03/2012 Last modified: 14/06/2014
    FSA Approved Person Refusals 2012: Mohamed Arfaan Mughal

  8. FSA Application Refusal 2012: Complete Cover Limited [pdf]

    Final notices Published: 14/03/2012 Last modified: 14/06/2014
    FSA Application Refusal 2012: Complete Cover Limited

  9. FSA Approved Person Refusals 2012: Stephen Herbert Danner [pdf]

    Final notices Published: 20/07/2012 Last modified: 14/06/2014
    FSA Approved Person Refusals 2012: Stephen Herbert Danner

  10. FSA Final Notice 2009: Saltire Underwriting Agency Limited [pdf]

    Final notices Published: 20/05/2009 Last modified: 14/06/2014
    FSA Final Notice 2009: Saltire Underwriting Agency Limited
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