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Showing 1261 to 1270 of 2368 search results for This final notice refers to a failure.
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FCA Final Notice 2014: Investments Limited [pdf]
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. -
Final Notice 2018: Alok Dhanda [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. -
Final Notice 2023: Ray Alan Davis [pdf]
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. -
Notice of Decision 2024: Alternative Funding Centre Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2023: Bloomfields Horseboxes South Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation -
FCA Final Notice 2013: The Royal Bank of Scotland plc and The Royal Bank of Scotland N.V. (together “RBS”) [pdf]
This final notice refers to breaches of SUP and PRIN 2 related to transaction reporting in the investment banks sector. We imposed a fine. -
Notice of Decision 2024: Isle Of Wight Law Centre Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
FCA Final Notice 2013: Churchill Securities (UK) Limited [pdf]
This Final Notice refers to breaches of TC related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation. -
Notice of Decision 2023: Kenneth Martin Photography Ltd [pdf]
This Notice of Decision (Kenneth Martin Photography Ltd) refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: Greenbank Caravans & Trailers Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.