Publications

Showing 1721 to 1730 of 3616 search results.

1721. Final Notice 2015: Andrew Baxter trading as Wealth Management [pdf]

      Final notices

      Published: 05/02/2015

      Last modified: 06/02/2015

      This final notice refers to breaches of Principle 11 / COND related to threshold conditions and failing to be open and co-operative in the investment advisor sector. We imposed a cancellation.

1722. Final Notice 2015: 15/1 Consumer credit application refusal [pdf]

      Final notices

      Published: 30/01/2015

      Last modified: 30/01/2015

      This summary of a final notice refers to breaches of COND and TC related to lack of fitness/propriety and failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

1723. Final Notice 2015: Leadgen (UK) Limited [pdf]

      Final notices

      Published: 26/01/2015

      Last modified: 26/01/2015

      This final notice refers to breaches of Principle 11 related to threshold conditions breaches in the consumer credit sector. We imposed a cancellation.

1724. Final Notice 2015: Jeremy Kraft [pdf]

      Final notices

      Published: 22/01/2015

      Last modified: 22/01/2015

      This final notice refers to breaches of APER 6, APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition.

1725. Final Notice 2015: David Caplin [pdf]

      Final notices

      Published: 22/01/2015

      Last modified: 22/01/2015

      This final notice refers to breaches of APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition.

1726. Final Notice 2015: Reckitt Benckiser Group Plc [pdf]

      Final notices

      Published: 20/01/2015

      Last modified: 20/01/2015

      This final notice refers to breaches of LR and DTR related to listing rules breaches in the issuer sector. We imposed a financial penalty.

1727. Final Notice 2015: Alina Business & Financial Services Limited [pdf]

      Final notices

      Published: 14/01/2015

      Last modified: 14/01/2015

      This final notice refers to breaches of PSR related to the Payment Services Regulations in the payment services sector. We imposed a cancellation.

1728. Final Notice 2015: Nineveh Advisory Limited [pdf]

      Final notices

      Published: 13/01/2015

      Last modified: 13/01/2015

      This final notice refers to breaches of Principle 11 related to threshold conditions in the investment adviser sector. We imposed a cancellation.

1729. Final Notice 2015: Execution Noble & Company Limited [pdf]

      Final notices

      Published: 06/01/2015

      Last modified: 06/01/2015

      This final notice refers to breaches of the Listing Rules related to failing to be open and co-operative in the sponsor sector. We imposed a fine.

1730. FCA Final Notice 2014: Collingwood Mourton Associates Limited [pdf]

      Final notices

      Published: 18/12/2014

      Last modified: 18/12/2014

      This final notice refers to breaches of threshold conditions in the investment and home finance sector. We imposed a cancellation.