Search results

Showing 211 to 220 of 6146 search results for This Final Notice.

211. FCA Final Notice 2013: Coöperatieve Centrale Raiffeisen–Boerenleenbank B.A. (Rabobank) [pdf]

     Final notices Published: 29/10/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 2, PRIN 3, and PRIN 5 related to benchmarks in the investment banks sector. We imposed a fine.

212. 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

213. Final notice 2016: Patrick Gray [pdf]

     Final notices Published: 09/06/2016 Last modified: 09/06/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

214. FCA Final Notice 2013: Westwood Independent Financial Planners [pdf]

     Final notices Published: 17/12/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to mis-selling and unfair treatment of customers in the investment advisers and platforms sector. We imposed a fine.

215. FSA Final Notice 2011: Caspar Agnew [pdf]

     Final notices Published: 03/10/2011 Last modified: 14/06/2014
     For the reasons set out in this Final Notice, the FSA is taking action against Caspar Agnew

216. Final notice 2016: Mark Thorogood [pdf]

     Final notices Published: 12/01/2016 Last modified: 12/01/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety and mortgage fraud in the mortgages sector. We imposed a refusal.

217. FSA Final Notice 2011: Crimson Permanent Assurance Consultants Limited [pdf]

     Final notices Published: 06/04/2011 Last modified: 14/06/2014
     For the reasons set out in this Final Notice, the FSA is taking action against Crimson Permanent Assurance Consultants Limited

218. FSA Final Notice 2012: Steven Toole [pdf]

     Final notices Published: 03/05/2012 Last modified: 14/06/2014
     For the reasons set out in this Final Notice, the FSA is taking action against Steven Toole

219. FSA Final Notice 2012: Accendo Markets 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 Accendo Markets Limited

220. FSA Final Notice 2011: David Pascall Andrew McGrath [pdf]

     Final notices Published: 17/05/2011 Last modified: 14/06/2014
     For the reasons set out in this Final Notice, the FSA is taking action against David Pascall Andrew McGrath