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Showing 3781 to 3790 of 4719 search results for final notice refers.

  1. 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

  2. FSA Approved Person Refusals 2002: Paul Stephen Sinton [pdf]

    Final notices Published: 01/06/2002 Last modified: 14/06/2014
    FSA Approved Person Refusals 2002: Paul Stephen Sinton

  3. FSA Approved Person Refusals 2002: Deric Hamilton Oliver [pdf]

    Final notices Published: 01/06/2002 Last modified: 14/06/2014
    FSA Approved Person Refusals 2002: Deric Hamilton Oliver

  4. FSA Approved Person Refusals 2003: Mr Michael Bridges [pdf]

    Final notices Published: 01/11/2003 Last modified: 14/06/2014
    FSA Approved Person Refusals 2003: Mr Michael Bridges

  5. FSA Final Notice 2009: Mohammad Rana trading as Countrywide Management Consultancy and as Property Compass [pdf]

    Final notices Published: 24/04/2009 Last modified: 14/06/2014
    FSA Final Notice 2009: Mohammad Rana trading as Countrywide Management Consultancy and as Property Compass

  6. FSA Approved Person Refusals 2003: Edward Philip Curtis [pdf]

    Final notices Published: 01/05/2003 Last modified: 14/06/2014
    FSA Approved Person Refusals 2003: Edward Philip Curtis

  7. FSA Final Notice 2002: FT Investments and Insurance Consultants [pdf]

    Final notices Published: 01/08/2002 Last modified: 14/06/2014
    FSA Final Notice 2002: FT Investments and Insurance Consultants

  8. 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.

  9. FSA Final Notice 2005: Smith, Whiteley & Company [pdf]

    Final notices Published: 01/06/2005 Last modified: 14/06/2014
    FSA Final Notice 2005: Smith, Whiteley & Company

  10. FSA Final Notice 2004: Anthony Knight Associates Limited [pdf]

    Final notices Published: 01/10/2004 Last modified: 14/06/2014
    FSA Final Notice 2004: Anthony Knight Associates Limited
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