Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 1261 to 1270 of 2368 search results for This Final Notice refers to a failure.

  1. FCA Final Notice 2014: Investments Limited [pdf]

    Final notices Published: 23/07/2014 Last modified: 13/03/2015
    This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction.

  2. Final Notice 2018: Alok Dhanda [pdf]

    Final notices Published: 16/01/2018
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  3. Final Notice 2023: Ray Alan Davis [pdf]

    Final notices Published: 15/11/2023
    This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the General Insurance and Protection sector. We imposed a prohibition.

  4. Notice of Decision 2024: Alternative Funding Centre Limited [pdf]

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

  5. Notice of Decision 2023: Bloomfields Horseboxes South Ltd [pdf]

    Decision notices Published: 07/12/2023
    This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation

  6. FCA Final Notice 2013: The Royal Bank of Scotland plc and The Royal Bank of Scotland N.V. (together “RBS”) [pdf]

    Final notices Published: 16/07/2013 Last modified: 07/04/2015
    This final notice refers to breaches of SUP and PRIN 2 related to transaction reporting in the investment banks sector. We imposed a fine.

  7. Notice of Decision 2024: Isle Of Wight Law Centre Limited [pdf]

    Decision notices Published: 01/03/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  8. FCA Final Notice 2013: Churchill Securities (UK) Limited [pdf]

    Final notices Published: 25/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of TC related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

  9. Notice of Decision 2023: Kenneth Martin Photography Ltd [pdf]

    Decision notices Published: 08/09/2023
    This Notice of Decision (Kenneth Martin Photography Ltd) refers to a failure to carry on regulated activities. We imposed a cancellation.

  10. Notice of Decision 2024: Greenbank Caravans & Trailers Limited [pdf]

    Decision notices Published: 10/05/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. 
Related topics