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Showing 11 to 20 of 4233 search results for Final notice in relation.

  1. FSA - PS12/2 [pdf]

    Policy statements Published: 20/01/2012 Last modified: 30/05/2013
    Policy FSA - PS12/2 - This Policy Statement reports on the main issues in relation to custody liens arising from Consultation Paper 11/15: Client assets sourcebook: (1) Custody liens, (2) Title transfer collateral arrangements (July 2011) and

  2. Final Notice 2020: Paul Milsom [pdf]

    Final notices Published: 27/04/2020
    The reason for this action is because he lacks honesty and integrity such that he is not fit and proper to perform any functions in relation to regulated activities carried on by an authorised person, exempt person or exempt professional firm. As a

  3. Final Notice 2024: Victoria Snoddy [pdf]

    Final notices Published: 08/02/2024
    This Final Notice (Victoria Snoddy) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in relation to a new firm authorisation application. We have refused the Application.

  4. FCA publishes Final Notice for Keydata’s former finance director, Craig McNeil, fining him £350,000 and prohibiting him from performing any significant influence function

    Press Releases Published: 22/09/2015 Last modified: 14/11/2016
    FCA publishes Final Notice for Keydata’s former finance director, Craig McNeil, fining him £350,000 and prohibiting him from performing any significant influence function. ... The Final Notice for Craig McNeil.

  5. 2019 fines

    News stories Published: 16/01/2019 Last modified: 20/01/2020
    This page contains information about enforcement fines published during the calendar year ending 2019.

  6. Final Notice 2023: Brian Hamilton [pdf]

    Final notices Published: 16/08/2023
    This final notice (Brian Hamilton) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in relation to a firm within the Temporary Permissions Regime. We imposed a

  7. Final Notice 2022: Carlo Palombo [pdf]

    Final notices Published: 28/11/2022
    This Final Notice refers to Mr Palombo’s fitness and propriety to perform a regulated function, following his conviction for conspiracy to defraud. We have prohibited Mr Palombo from performing any function in relation to a regulated activity.

  8. Final Notice 2022: Lyonnaise De Banque [pdf]

    Final notices Published: 21/12/2022
    This final notice (Lyonnaise De Banque) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in relation to a firm within the TPR. We imposed a cancellation.

  9. Final Notice 2021: Christopher Carey [pdf]

    Final notices Published: 12/04/2021
    In this final notice, the Authority has refused the application on the basis that Mr Carey does not satisfy the Threshold Conditions in relation to all of the regulated activities for which he would have permission if the application was granted.

  10. Final Notice 2022: Philippe Moryoussef [pdf]

    Final notices Published: 28/07/2022
    This Final Notice refers to Mr Moryoussef’s fitness and propriety to perform a regulated function, following his conviction for conspiracy to defraud. We have prohibited Mr Moryoussef from performing any function in relation to a regulated activity