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Showing 11 to 20 of 5957 search results for final notice.

  1. Market Watch 67

    Newsletters Published: 28/05/2021 Last modified: 28/05/2021
    Newsletter on market conduct and transaction reporting issues.
  2. FSA Final Notice 2009: Mr Ayodele Olubunmi Thomas [pdf]

    Final notices Published: 02/10/2009 Last modified: 14/06/2014
    FSA Final Notice 2009: Mr Ayodele Olubunmi Thomas
  3. Final Notice 2022: Bank House Investment Management Limited [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Bank House Investment Management Limited) refers to breaches of PRIN 1 and section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a financial penalty
  4. Final Notice 2019: Gary Jackson [pdf]

    Final notices Published: 16/09/2019
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.
  5. Final Notice 2019: Terry John Farr [pdf]

    Final notices Published: 29/05/2019
    This final notice (Terry John Farr) refers to breaches of FIT related to lack of fitness/propriety and wholesale conduct in the trading firm sector. We imposed a prohibition.
  6. Final Notice 2019: Leon Caush [pdf]

    Final notices Published: 27/03/2019
    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. Final Notice 2019: Kevin Hart [pdf]

    Final notices Published: 11/04/2019
    This final notice (Kevin Hart) 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.
  8. Final Notice 2019: Carb Cycles [pdf]

    Final notices Published: 16/04/2019
    This final notice (Carb Cycles) 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.
  9. Final Notice 2019: Alan Coppock [pdf]

    Final notices Published: 16/04/2019
    This final notice (Alan Coppock) 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.
  10. Final Notice 2019: Gary Nuttall [pdf]

    Final notices Published: 28/02/2019
    This final notice (Gary Nuttall) 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.