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Showing 81 to 90 of 359 search results.

  1. FCA Decision Notice 2015: Mark John Owen [pdf]

    Decision notices Published: 26/05/2015 Last modified: 26/05/2015
    This decision notice refers to breaches of APER 1, APER 4, FIT related to mis-selling, failing to be open and co-operative, lack of fitness/propriety, failing to act on information appropriately in the Asset Management sector. Our view is that a
  2. FCA Decision Notice 2015: Peter Francis Johnson [pdf]

    Decision notices Published: 26/05/2015 Last modified: 26/05/2015
    This decision notice refers to breaches of APER 1, APER 4, FIT related to mis-selling, failing to be open and co-operative, lack of fitness/propriety, failing to act on information appropriately in the Asset Management sector. Our view is that a
  3. FCA Decision Notice 2015: Stewart Owen Ford [pdf]

    Decision notices Published: 26/05/2015 Last modified: 27/05/2015
    This decision notice refers to breaches of APER 1, APER 4, FIT related to mis-selling, failing to be open and co-operative, lack of fitness/propriety, conflicts of interests, failing to act on information appropriately in the Asset Management sector.
  4. FCA First Supervisory Notice 2015: Clear View Finance Limited [pdf]

    Supervisory notices Published: 21/05/2015 Last modified: 21/05/2015
  5. FCA First Supervisory Notice 2015: Sterling Financial Security Limited [pdf]

    Supervisory notices Published: 21/05/2015 Last modified: 21/05/2015
  6. FCA First Supervisory Notice 2015: Haydon Associates Debt Management Consultants Limited [pdf]

    Supervisory notices Published: 21/05/2015 Last modified: 21/05/2015
  7. FCA First Supervisory Notice 2015: Andrew Baxter [pdf]

    Supervisory notices Published: 05/02/2015 Last modified: 05/02/2015
  8. FCA Second Supervisory Notice 2015: Andrew Baxter [pdf]

    Supervisory notices Published: 05/02/2015 Last modified: 05/02/2015
  9. FCA First Supervisory Notice 2015: LQD Markets (UK) Limited [pdf]

    Supervisory notices Published: 29/01/2015 Last modified: 29/01/2015
  10. FCA Decision Notice 2014: Paul Reynolds [pdf]

    Decision notices Published: 23/10/2014 Last modified: 23/10/2014