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Showing 1031 to 1040 of 2435 search results for final notice refers to a failure.

1031. Notice of Decision 2024: Ashworths Of London (Finance) Ltd [pdf]

      Decision notices Published: 24/06/2024
      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

1032. Notice of Decision 2024: C A Car & Commercials Limited [pdf]

      Decision notices Published: 16/07/2024
      This Notice of Decision refers to a failure to carry on regulated activity. We imposed a Cancellation.

1033. Final Notice 2015: LAFM Limited (formerly known as Lloyd Anderson Financial Management Limited) [pdf]

      Final notices Published: 12/02/2015 Last modified: 12/02/2015
      This final notice refers to breaches of Principle 11, related to threshold conditions in the consumer credit sector. We imposed a cancellation.

1034. FCA Final Notice 2014: State Street [pdf]

      Final notices Published: 31/01/2014 Last modified: 07/04/2015
      This final notice refers to breaches of PRIN 6 and PRIN 7 related to wholesale conduct, unfair treatment of customers in the investment banks sector. We imposed a fine.

1035. Final notice 2016: PDHL Limited [pdf]

      Final notices Published: 10/03/2016 Last modified: 10/03/2016
      This final notice refers to numerous breaches of CONC Chapter 8 related to an inability to meet Threshold Condition 2D (appropriate non-financial resources) and 2E (Suitability) in the Consumer Credit: Debt Management sector. We imposed a refusal of

1036. FCA Final Notice 2014: Andrew Barlas [pdf]

      Final notices Published: 24/09/2014 Last modified: 07/04/2015
      This final notice refers to breaches of PRIN 1 related to mortgage fraud in the mortgages sector. We imposed a public censure.

1037. Final notice 2016: Mark Thorogood [pdf]

      Final notices Published: 12/01/2016 Last modified: 12/01/2016
      This final notice refers to breaches of FIT related to a lack of fitness/propriety and mortgage fraud in the mortgages sector. We imposed a refusal.

1038. Notice of Decision 2024: NATIONAL CAR FINANCE LTD [pdf]

      Decision notices Published: 10/07/2024
      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

1039. Notice of Decision 2024: Delicious Fine Foods Ltd [pdf]

      Decision notices Published: 02/07/2024
      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

1040. FCA Final Notice 2013: Porta Verde Financial Services Limited [pdf]

      Final notices Published: 24/10/2013 Last modified: 07/04/2015
      This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to appointed representatives, and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.