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Showing 2101 to 2110 of 2368 search results for This Final Notice refers to a failure.

  1. FCA Final Notice 2014: Cathedral City Wealth Management Limited [pdf]

    Final notices Published: 10/03/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisor sector. We imposed a cancellation.

  2. Final Notice 2019: Linear Investments Limited [pdf]

    Final notices Published: 29/04/2019
    This final notice (Linear Investments Limited) refers to breaches of PRIN 3 related to market protection and market abuse in the trading firm sector. We imposed a fine.

  3. Final Notice 2018: Christopher Dwane Michael Fletcher [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.

  4. Final Notice 2018: Christine Wright Services Limited [pdf]

    Final notices Published: 09/08/2018
    This final notice refers to breaches of payment services regulations (PSR) related to failing to be open and co-operative in the payment services sector. For the interest and protection of Consumers, we imposed a cancellation.

  5. Final Notice 2022: William Mark Tristan Freer [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (William Mark Tristan Freer) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a prohibition

  6. Final Notice: Rollin Stock (Hair & Beauty) Ltd [pdf]

    Final notices Published: 25/09/2017
    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 2015: Steven Martin [pdf]

    Final notices Published: 23/10/2015 Last modified: 23/10/2015
    This Final Notice refers to breaches of APER 6 and MCOB (Mortgage Conduct of Business Rules) related to unfair treatment of customers in the sale and rent back sector. We imposed a public censure and redress.

  8. Notice of Decision 2024: Chester and Newman Plumbing and Heating Services Ltd [pdf]

    Decision notices Published: 22/02/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.    

  9. Final Notice 2017: We Source Any Vehicle Limited [pdf]

    Final notices Published: 19/10/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  10. FCA Final Notice 2013: Bentley-Leek Financial Management Limited [pdf]

    Final notices Published: 18/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of TC related to threshold conditions in the investment advisers and platforms sector. We imposed a withdrawal.
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