Search results

Showing 201 to 210 of 6146 search results for This Final Notice.

201. 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

202. FSA Final Notice 2012: Cattles Ltd [pdf]

     Final notices Published: 28/03/2012 Last modified: 14/06/2014
     For the reasons set out in this Final Notice, the FSA is taking action against Cattles Ltd

203. 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

204. Final notice 2016: Gavin Breeze [pdf]

     Final notices Published: 15/07/2016 Last modified: 15/07/2016
     This final notice refers to breaches of s.118(2) and (3) Financial Services and Markets Act 2000 related to market abuse in the issuer sector. We imposed a fine, required restitution and a public censure.

205. 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

206. Final notice 2016: BN1 Cars Ltd [pdf]

     Final notices Published: 24/03/2016 Last modified: 24/03/2016
     This final notice refers to breaches of COND and TC, failing to be open and co-operative. We imposed a refusal.

207. FSA Final Notice 2012: Christchurch Investment Management Limited [pdf]

     Final notices Published: 29/03/2012 Last modified: 14/06/2014
     For the reasons set out in this Final Notice, the FSA is taking action against Christchurch Investment Management Limited

208. 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

209. FCA Final Notice 2013: Westwind UK Limited [pdf]

     Final notices Published: 21/06/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation.

210. 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.