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Showing 4071 to 4080 of 4722 search results for final notice refers.

4071. Final notice 2015: Threadneedle Asset Management Limited [pdf]

      Final notices Published: 15/12/2015 Last modified: 15/12/2015
      This final notice concerns an asset management sector firm’s breach of PRIN 3 for failing to put in place adequate controls in the fixed income area of its front office and PRIN 11 for providing inaccurate information to the regulator and for

4072. Notice of Decision 2024: Alternative Funding Centre Limited [pdf]

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

4073. Notice of Decision 2023: Bloomfields Horseboxes South Ltd [pdf]

      Decision notices Published: 07/12/2023
      This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation

4074. FSA Application Refusal 2005: Connex Financial Services Limited [pdf]

      Final notices Published: 01/03/2005 Last modified: 14/06/2014
      FSA Application Refusal 2005: Connex Financial Services Limited

4075. Decision Notice 2021: Markos Theodosi Markou [pdf]

      Decision notices Published: 28/07/2021
      This Decision Notice refers to what the FCA considers to be a breach of Principle 1 of APER. The FCA's view is that the individual acted recklessly, is not fit and proper and therefore a financial penalty and a full prohibition should be imposed.

4076. Notice of Decision 2024: Cavendish Property Investments Ltd [pdf]

      Decision notices Published: 25/03/2024
      The Notice of Decision refers to failure to carry on regulated activities. We imposed a cancellation.

4077. FSA Final Notice 2012: Kaupthing Singer and Friedlander Limited (in administration) [pdf]

      Final notices Published: 18/06/2012 Last modified: 14/06/2014
      For the reasons set out in this Final Notice, the FSA is taking action against Kaupthing Singer and Friedlander Limited (in administration)

4078. Policy development update

      News stories Published: 02/07/2020 Last modified: 10/09/2021
      The policy development update provides some information on our recent and upcoming publications but should not be regarded as comprehensive.

4079. Notice of Decision 2024: Greenbank Caravans & Trailers Limited [pdf]

      Decision notices Published: 10/05/2024
      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. 

4080. Notice of Decision 2024: JC Car Sales Scotland Ltd [pdf]

      Decision notices Published: 05/03/2024
      “This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation”.