Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 141 to 150 of 6146 search results for This final notice.

  1. FSA Final Notice 2010: Darren Button [pdf]

    Final notices Published: 21/07/2010 Last modified: 04/06/2015
    For the reasons set out in this Final Notice, the FSA is taking action against Darren Button

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

    Final notices Published: 08/02/2013 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against UBS AG

  3. FSA Final Notice 2011: Kalnan (UK) Ltd [pdf]

    Final notices Published: 24/08/2011 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Kalnan (UK) Ltd

  4. Final notice 2016: Pacific Continental Securities (UK) Limited (In Liquidation) [pdf]

    Final notices Published: 15/03/2016 Last modified: 17/03/2016
    This final notice refers to breaches of Prin 4, Cond and IPRU-INV related to threshold conditions in the investment advisor sector. We imposed a cancellation.

  5. FSA Final Notice 2013: Opm [pdf]

    Final notices Published: 06/02/2013 Last modified: 31/05/2013
    For the reasons set out in this Final Notice, the FSA is taking action against Opm

  6. Final Notice 2024: Hadyn Gamblin [pdf]

    Final notices Published: 01/03/2024
    This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority PRIN 11 in the consumer credit sector. We imposed a cancellation.

  7. FCA Final Notice 2015: Tiuta Plc [pdf]

    Final notices Published: 05/11/2015 Last modified: 05/11/2015
    This Final Notice refers to breaches of PRIN 4, COND, MIPRU and IPRU-INV related to threshold conditions in the investment adviser sector. We imposed a cancellation.

  8. Final notice 2016: R Sadler [pdf]

    Final notices Published: 12/05/2016 Last modified: 12/05/2016
    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.

  9. FCA Final Notice 2013: Policy Administration Services Limited [pdf]

    Final notices Published: 03/07/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and 6 related to complaints-handling, and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

  10. FSA Final Notice 2012: UBS AG 19th Dec [pdf]

    Final notices Published: 19/12/2012 Last modified: 31/05/2013
    For the reasons set out in this Final Notice, the FSA is taking action against UBS AG 19th Dec
Related topics