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Showing 901 to 910 of 2365 search results for This final notice refers to a failure.

901. Final Notice 2017: Tesco plc [pdf]

     Final notices Published: 28/03/2017
     This final notice refers to breaches of s.118(7) related to market abuse in the issuer sector. We imposed a restitution.

902. Final notice 2016: Naimat Gul [pdf]

     Final notices Published: 22/08/2016
     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.

903. Notice of Decision 2023: Michael Wenman Limited [pdf]

     Decision notices Published: 06/09/2023 Last modified: 23/10/2023
     This Notice of Decision (Michael Wenman Limited) refers to a failure to carry on regulated activities. We imposed a cancellation.

904. Notice of Decision 2024: J&D Motors Ltd [pdf]

     Decision notices Published: 29/04/2024
     This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

905. Notice of Decision 2024: Christian James Cadwallader [pdf]

     Decision notices Published: 28/03/2024
     This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

906. Final notice 2015: AR Capital [pdf]

     Final notices Published: 12/11/2015 Last modified: 12/11/2015
     This final notice refers to an applicant for Part 4A permission not satisfying the FCA’s appropriate resources and suitability threshold conditions. We refused the application.

907. Final Notice 2017: M V Autos [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.

908. Notice of Decision 2023: Michael Joseph Bentley [pdf]

     Decision notices Published: 03/08/2023
     This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

909. Notice of Decision 2023: James Anthony Donaldson (trading as Castle Credit Company) [pdf]

     Decision notices Published: 12/09/2023
     This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

910. FCA Final Notice 2013: Westwood Independent Financial Planners [pdf]

     Final notices Published: 17/12/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to mis-selling and unfair treatment of customers in the investment advisers and platforms sector. We imposed a fine.