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Showing 191 to 200 of 6118 search results for This Final Notice.

191. FSA Final Notice 2013: Nestor Healthcare Group Limited [pdf]

     Final notices Published: 14/02/2013 Last modified: 31/05/2013
     For the reasons set out in this Final Notice, the FSA is taking action against Nestor Healthcare Group Limited

192. FSA Final Notice 2013: Kapook UK Limited [pdf]

     Final notices Published: 25/03/2013 Last modified: 09/08/2013
     For the reasons set out in this Final Notice, the FSA is taking action against Kapook UK Limited

193. FSA Final Notice 2012: UBS AG [pdf]

     Final notices Published: 25/11/2012 Last modified: 14/06/2014
     For the reasons set out in this Final Notice, the FSA is taking action against UBS AG

194. FSA Final Notice 2011: Omagis Capital Limited [pdf]

     Final notices Published: 17/06/2011 Last modified: 14/06/2014
     For the reasons set out in this Final Notice, the FSA is taking action against Omagis Capital Limited

195. FSA Final Notice 2012: Safari General Trading Ltd [pdf]

     Final notices Published: 12/07/2012 Last modified: 14/06/2014
     For the reasons set out in this Final Notice, the FSA is taking action against Safari General Trading Ltd

196. FSA Final Notice 2011: Coutts & Company [pdf]

     Final notices Published: 08/11/2011 Last modified: 14/06/2014
     For the reasons set out in this Final Notice, the FSA is taking action against Coutts & Company

197. FSA Final Notice 2011: Wise Owl Services Limited [pdf]

     Final notices Published: 28/06/2011 Last modified: 14/06/2014
     For the reasons set out in this Final Notice, the FSA is taking action against Wise Owl Services Limited

198. FSA Final Notice 2011: Commercial Insurance Services (M/CR) Limited [pdf]

     Final notices Published: 18/10/2011 Last modified: 14/06/2014
     For the reasons set out in this Final Notice, the FSA is taking action against Commercial Insurance Services (M/CR) Limited

199. 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

200. Final Notice 2023: Mr Paul Steel [pdf]

     Final notices Published: 04/07/2023
     This Final Notice refers to breaches of APER 1, 2 and 4, and COCON 1 and 3 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a financial penalty and a prohibition.