Publications

Showing 1941 to 1950 of 3616 search results.

1941. FCA Final Notice 2013: Derek Jones [pdf]

      Final notices

      Published: 29/04/2013

      Last modified: 19/05/2015

      This final notice refers to breaches of APER 6 related to lack of fitness /propriety in the mortgage and consumer credit sector. We imposed a prohibition.

1942. FCA Final Notice 2013: Kevin Peter Wells [pdf]

      Final notices

      Published: 18/04/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of APER6, APER7, and FIT related to lack of fitness/propriety, client money/assets. We imposed a fine, a prohibition a public censure.

1943. FCA Final Notice 2013: Castlehill Wealth Management Limited [pdf]

      Final notices

      Published: 16/04/2013

      Last modified: 07/04/2015

      This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

1944. FSA Final Notice 2013: EFG Private Bank Ltd [pdf]

      Final notices

      Published: 28/03/2013

      Last modified: 31/05/2013

      For the reasons set out in this Final Notice, the FSA is taking action against EFG Private Bank Ltd

1945. FSA Final Notice 2013: Prudential plc [pdf]

      Final notices

      Published: 27/03/2013

      Last modified: 31/05/2013

      For the reasons set out in this Final Notice, the FSA is taking action against Prudential plc

1946. FSA Final Notice 2013: The Prudential Assurance Company Limited [pdf]

      Final notices

      Published: 27/03/2013

      Last modified: 31/05/2013

      For the reasons set out in this Final Notice, the FSA is taking action against The Prudential Assurance Company Limited

1947. FSA Final Notice 2013: Scott Briscoe Limited [pdf]

      Final notices

      Published: 27/03/2013

      Last modified: 30/05/2013

      For the reasons set out in this Final Notice, the FSA is taking action against Scott Briscoe Limited.

1948. FSA Final Notice 2013: Mr Sidney Cordle [pdf]

      Final notices

      Published: 27/03/2013

      Last modified: 30/05/2013

      For the reasons set out in this Final Notice, the FSA is taking action against Mr Sidney Cordle.

1949. FSA Final Notice 2013: Care Asset Management [pdf]

      Final notices

      Published: 27/03/2013

      Last modified: 31/05/2013

      For the reasons set out in this Final Notice, the FSA is taking action against Care Asset Management

1950. FSA Final Notice 2013: Mr Cheick Tidjane Thiam [pdf]

      Final notices

      Published: 27/03/2013

      Last modified: 31/05/2013

      For the reasons set out in this Final Notice, the FSA is taking action against Mr Cheick Tidjane Thiam