Publications

Showing 1841 to 1850 of 3616 search results.

1841. FCA Final Notice 2014: Michael Bains [pdf]

      Final notices

      Published: 06/01/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

1842. FCA Final Notice 2013: JLT Specialty Limited [pdf]

      Final notices

      Published: 19/12/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 3 related to financial crime in the general insurance and protection sector. We imposed a fine.

1843. FCA Final Notice 2013: Michael Conway [pdf]

      Final notices

      Published: 17/12/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of FIT related to lack of fitness/propriety in the wealth management and private banking, investment advisers and platforms sector. We imposed a prohibition.

1844. FCA Final Notice 2013: Andrew Joseph Powell [pdf]

      Final notices

      Published: 17/12/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of FIT related to lack of fitness/propriety in the wealth management and private banking, investment advisers and platforms sector. We imposed a prohibition.

1845. FCA Final Notice 2013: Martin Peter Gwynn [pdf]

      Final notices

      Published: 17/12/2013

      Last modified: 08/06/2020

      This final notice refers to breaches of FIT related to

1846. FCA Final Notice 2013: Daniel Christopher Conway [pdf]

      Final notices

      Published: 17/12/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of FIT related to lack of fitness/propriety in the wealth management and private banking, investment advisers and platforms sector. We imposed a prohibition.

1847. 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.

1848. FCA Final Notice 2013: Dickson Minto W. S. [pdf]

      Final notices

      Published: 16/12/2013

      Last modified: 07/11/2014

      Following a request received from Dickson Minto W. S., the FCA hereby limits and restricts the services to which the sponsor approval of Dickson Minto W. S. relates.

1849. FCA Final Notice 2013: Winterflood Securities Limited (trading as Winterflood Investment Trusts) [pdf]

      Final notices

      Published: 16/12/2013

      Last modified: 11/11/2014

      Following a request received from Winterflood Securities Limited (trading as Winterflood Investment Trusts), the FCA hereby limits and restricts the services to which the sponsor approval of Winterflood Securities Limited (trading as Winterflood

1850. FCA Final Notice 2013: Dexion Capital plc [pdf]

      Final notices

      Published: 16/12/2013

      Last modified: 07/11/2014

      Following a request received from Dexion Capital plc, the FCA hereby limits and restricts the services to which the sponsor approval of Dexion Capital plc relates.