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Showing 1031 to 1040 of 2368 search results for This final notice refers to a failure.

  1. Notice of Decision 2024: Dharam Gold Exchange Ltd [pdf]

    Decision notices Published: 03/05/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  2. Notice of Decision 2024: JM Financial (UK) Limited [pdf]

    Decision notices Published: 28/02/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  3. FCA Final Notice 2013: Alison Moran [pdf]

    Final notices Published: 04/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 6 related to financial promotions and unfair treatment of customers in the investment advisers and platforms sector. We imposed a penalty.

  4. Final notice 2016: PDHL Limited [pdf]

    Final notices Published: 10/03/2016 Last modified: 10/03/2016
    This final notice refers to numerous breaches of CONC Chapter 8 related to an inability to meet Threshold Condition 2D (appropriate non-financial resources) and 2E (Suitability) in the Consumer Credit: Debt Management sector. We imposed a refusal of

  5. Notice of Decision 2024: Central Garage (Fence) Ltd [pdf]

    Decision notices Published: 23/04/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  6. Notice of Decision 2023: Gainsborough Financial Services [pdf]

    Decision notices Published: 13/09/2023
    This Notice of Decision (Gainsborough Financial Services) refers to a failure to carry on regulated activities. We imposed a cancellation.

  7. Notice of Decision 2024: Majestic Autos (UK) Limited [pdf]

    Decision notices Published: 12/06/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. 

  8. Final Notice 2015: Rogerio Pinto [pdf]

    Final notices Published: 12/02/2015 Last modified: 02/04/2015
    This final notice refers to breaches of FIT related to lack of fitness and propriety in the trading firm sector. We imposed a refusal.

  9. Final Notice 2017: Andrew Quinn [pdf]

    Final notices Published: 14/06/2017
    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: Porta Verde Financial Services Limited [pdf]

    Final notices Published: 24/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to appointed representatives, and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.
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