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Showing 1181 to 1190 of 2368 search results for This Final Notice refers to a failure.

  1. FCA Final Notice 2014: Hamd Enterprises Limited [pdf]

    Final notices Published: 19/05/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.

  2. Notice of Decision 2023: Total Redress Services Ltd [pdf]

    Decision notices Published: 29/09/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  3. Notice of Decision 2024: Fund My Legal Claim Limited [pdf]

    Decision notices Published: 14/02/2024
    “This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation”

  4. Final Notice 2015: Aviva Investors Global Services Limited [pdf]

    Final notices Published: 24/02/2015 Last modified: 24/02/2015
    This final notice refers to breaches of PRIN 3, PRIN 8 and COBS related to unfair treatment of customers, conflicts of interest and culture / governance in the Asset management sector. We imposed a fine.

  5. FCA Final Notice 2014: JPMorgan Chase Bank N.A. [pdf]

    Final notices Published: 12/11/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

  6. Notice of Decision 2024: Jordan Leisure Systems Limited [pdf]

    Decision notices Published: 31/01/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  7. Notice of Decision 2024: Eilertsen Dental Care Limited [pdf]

    Decision notices Published: 15/04/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  8. FCA Final Notice 2014: The Royal Bank of Scotland Plc [pdf]

    Final notices Published: 12/11/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

  9. Notice of Decision 2024: SkyBlue Financial Services Ltd [pdf]

    Decision notices Published: 22/04/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  10. FCA Final Notice 2013: Jeffrey Simon Bennett [pdf]

    Final notices Published: 12/07/2013 Last modified: 19/05/2015
    This final notice refers to breaches of APER 6 related to misselling and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a fine, a prohibition order and withdrawal of approval.
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