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Showing 181 to 190 of 6101 search results for This Final Notice.

  1. Final notice 2016: David Williams T/A Debts Maze Solutions [pdf]

    Final notices Published: 23/02/2016 Last modified: 25/02/2016
    This final notice deals with a breach of COND. We refused this application for permission to carry on regulated activities of Debt Administration, Debt Collecting and Debt-Counselling as the application is incomplete.

  2. FSA Final Notice 2013: Media & Entertainment Insurance Services Limited [pdf]

    Final notices Published: 14/10/2010 Last modified: 31/05/2013
    For the reasons set out in this Final Notice, the FSA is taking action against Media & Entertainment Insurance Services Limited

  3. FSA Final Notice 2013: The Co-operative Bank plc [pdf]

    Final notices Published: 04/01/2013 Last modified: 31/05/2013
    For the reasons set out in this Final Notice, the FSA is taking action against The Co-operative Bank plc

  4. Final Notice 2022: BGC Brokers LP, GFI Securities Limited and GFI Brokers Limited [pdf]

    Final notices Published: 08/12/2022
    This Final Notice refers to breaches of Principle 3 of the FCA’s Principles for Businesses and Article 16(2) of the Market Abuse Regulation related to market protection and wholesale conduct in the Trading Firm sector. We imposed a financial

  5. Final Notice 2020: Goldman Sachs International (GSI) [pdf]

    Final notices Published: 22/10/2020 Last modified: 22/10/2020
    This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to wholesale conduct in the investment bank sector. We imposed a financial penalty.

  6. FSA Final Notice 2012: Sun Life Assurance Company of Canada (UK) Limited [pdf]

    Final notices Published: 18/10/2012 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Sun Life Assurance Company of Canada (UK) Limited

  7. FSA Final Notice 2012: Syed Zaidi [pdf]

    Final notices Published: 09/05/2012 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Syed Zaidi

  8. FCA Final Notice 2013: Minona LLP [pdf]

    Final notices Published: 02/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the asset management sector. We imposed a cancellation.

  9. Final notice 2016: PDHL Limited [pdf]

    Final notices Published: 10/03/2016 Last modified: 10/03/2016
    This final notice refers to numerous breaches of CONC Chapter 8 related to an inability to meet Threshold Condition 2D (appropriate non-financial resources) and 2E (Suitability) in the Consumer Credit: Debt Management sector. We imposed a refusal of

  10. Final notice 2016: Ashbank Cars [pdf]

    Final notices Published: 02/06/2016 Last modified: 02/06/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.
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