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Showing 911 to 920 of 2365 search results for This final notice refers to a failure.

  1. 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.

  2. 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.

  3. 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.

  4. 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.

  5. Notice of Decision 2023: Abigail Investment Limited [pdf]

    Decision notices Published: 07/09/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  6. Final notice 2016: Mark Kelly [pdf]

    Final notices Published: 09/06/2016 Last modified: 09/06/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  7. Notice of Decision 2023: Sqoan Financials Limited [pdf]

    Decision notices Published: 21/07/2023 Last modified: 08/03/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  8. Final notice 2016: H Finnikin [pdf]

    Final notices Published: 21/07/2016 Last modified: 21/07/2016
    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.

  9. FCA Final Notice 2013: Foneshield (UK) Limited [pdf]

    Final notices Published: 26/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  10. FCA Final Notice 2014: Ewan King [pdf]

    Final notices Published: 30/01/2014 Last modified: 19/05/2015
    This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.
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