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Showing 921 to 930 of 2365 search results for This final notice refers to a failure.

  1. 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.

  2. FCA Final Notice 2013: Minona LLP [pdf]

    Final notices Published: 02/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the asset management sector. We imposed a cancellation.

  3. Final notice 2016: Mr Paul White [pdf]

    Final notices Published: 12/04/2016 Last modified: 12/04/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment bank sector. We imposed a prohibition and public censure.

  4. Final Notice 2017: Ian Foden [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.

  5. 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.

  6. Final Notice 2022: BGC Brokers LP, GFI Securities Limited and GFI Brokers Limited [pdf]

    Final notices Published: 08/12/2022
    This Final Notice refers to breaches of Principle 3 of the FCA’s Principles for Businesses and Article 16(2) of the Market Abuse Regulation related to market protection and wholesale conduct in the Trading Firm sector. We imposed a financial

  7. Final notice 2016: Jawad Khan [pdf]

    Final notices Published: 25/02/2016 Last modified: 25/02/2016
    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.

  8. FCA Final Notice 2013: John Dixon [pdf]

    Final notices Published: 03/06/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

  9. Notice of Decision 2024: Trade Cars Of Bristol Limited [pdf]

    Decision notices Published: 06/06/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  10. Notice of Decision 2024:VULCAN CARS UK LTD   [pdf]

    Decision notices Published: 18/03/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.
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