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Showing 1481 to 1490 of 2368 search results for This final notice refers to a failure.

  1. Final Notice 2017: Stuart Watkins Cars [pdf]

    Final notices Published: 14/03/2017
    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.

  2. Notice of Decision 2023: Ivan John Barker (trading as Goodwin Park) [pdf]

    Decision notices Published: 14/11/2023
    This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation.

  3. Final Notice 2017: Tejoori Limited [pdf]

    Final notices Published: 14/12/2017
    This final notice refers to breaches of the Market Abuse Regulation related to market abuse in the issuer sector. We imposed a fine.

  4. Final Notice 2015: Alberto Micalizzi [pdf]

    Final notices Published: 19/03/2015 Last modified: 19/03/2015
    This final notice refers to breaches of APER 1 related to client money/assets, and lack of fitness/propriety in the asset management sector. We imposed a fine and a prohibition.

  5. Final notice 2016: Elizabeth Anne Parry [pdf]

    Final notices Published: 01/09/2016
    This final notice refers to breaches of APER 1 and FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition.

  6. Final Notice 2017: Paul Richard Watkins [pdf]

    Final notices Published: 23/06/2017
    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 2017: Paul John Moorefield [pdf]

    Final notices Published: 24/07/2017
    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.

  8. FCA Final Notice 2014: Michael Stanley Hirst [pdf]

    Final notices Published: 12/12/2014 Last modified: 12/12/2014
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition.

  9. Final Notice 2020: Redcentric PLC [pdf]

    Final notices Published: 26/06/2020
    This final notice (Redcentric PLC) refers to a breach of section 118(7) FSMA and the committal of market abuse by the publishing of false and misleading information about the financial position of an AIM-listed company. We imposed a public censure

  10. Final Notice 2018: William Dighton [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
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