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Showing 1301 to 1310 of 2368 search results for This Final Notice refers to a failure.

  1. Final Notice 2015: A A A Insurance Limited [pdf]

    Final notices Published: 12/10/2015 Last modified: 12/10/2015
    This final notice refers to breaches of PRIN 11 related to Threshold Conditions and failing to be open and co-operative in the general insurance and protection. We imposed a cancellation.

  2. Final Notice 2018: Alan Taylor [pdf]

    Final notices Published: 14/11/2018
    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. FCA Final Notice 2014: Deutsche Bank AG (“Deutsche”) [pdf]

    Final notices Published: 28/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of SUP 17 related to transaction reporting in the investment bank sector. We imposed a fine.

  4. Final Notice 2018: Emily Cook [pdf]

    Final notices Published: 18/05/2018
    This final notice (Emily Cook) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  5. Notice of Decision 2023: Buchanan Financial Group Limited [pdf]

    Decision notices Published: 03/08/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.   

  6. Final Notice 2018: Barot Bros (Bhupatsinh Barot trading as) [pdf]

    Final notices Published: 21/09/2018
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  7. Final Notice 2018: Andrew Hind [pdf]

    Final notices Published: 15/11/2018
    This final notice (Andrew Hind) refers to breaches of FIT related to a lack of fitness/propriety in the asset management sector. We imposed a prohibition.

  8. Final notice 2016: Crimson Car Sales [pdf]

    Final notices Published: 14/07/2016 Last modified: 14/07/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  9. FCA Final Notice 2014: David John Hobbs [pdf]

    Final notices Published: 25/02/2014 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the building societies and investment banks sector. We imposed a prohibition.

  10. Notice of Decision 2024: Intelligent Networks Solutions Limited [pdf]

    Decision notices Published: 06/06/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.
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