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Showing 1161 to 1170 of 2368 search results for This final notice refers to a failure.
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Final Notice 2023: Mark Anthony Jensen [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Notice of Decision 2024: G. P. Ellis & A. R. Hughes Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: Lee Ramsey t/a Summit Motorhomes [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Final Notice 2017: Mitchell Barney [pdf]
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. -
Notice of Decision 2024: Advance Dental Health Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: Chepstow Contract rentals Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Final Notice 2016: Phillip Whiffin [pdf]
This final notice refers to breaches of PRIN 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2022: Stuart Rea [pdf]
This Final Notice (Stuart Rea) refers to breaches of FIT. We imposed a prohibition. -
Final notice 2016: Sunrise Brokers LLP [pdf]
This final notice refers to a candidate for approval to perform controlled functions. The applicant firm and candidate did not provide sufficient information to satisfy us that the candidate met the honesty, integrity and reputation criteria of the -
Final notice 2016: Nasser Yusuf trading as Advance Money Management [pdf]
This final notice refers to breaches of COND related to Threshold conditions in the consumer credit sector. We imposed a refusal.