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Showing 1191 to 1200 of 2435 search results for final notice refers to a failure.

1191. FCA Final Notice 2014: Nick Bowyer [pdf]

      Final notices Published: 05/11/2014 Last modified: 07/04/2015
      This final notice refers to breaches of APER 6 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the payment services sector. We imposed a fine and a prohibition.

1192. Notice of Decision 2023: Jacob & Jones Group Ltd (previously known as JACOB & JONES SPECIALIST CARS LTD) [pdf]

      Decision notices Published: 16/10/2023
      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

1193. Notice of Decision 2024: Barbara Elizabeth Jean Preston [pdf]

      Decision notices Published: 04/07/2024
      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. 

1194. Decision Notice 2022: Barclays Bank plc [pdf]

      Decision notices Published: 21/10/2022
      This Decision Notice refers to breaches of listing rules relating to failure to disclose information in the issuer sector. We imposed a financial penalty.

1195. Decision Notice 2023: John Charles Roche [pdf]

      Decision notices Published: 29/08/2023
      Headnote sentence: This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

1196. Notice of Decision 2024: MSI Trade Centre Limited [pdf]

      Decision notices Published: 09/01/2024
      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

1197. Final Notice 2015: Aviva Investors Global Services Limited [pdf]

      Final notices Published: 24/02/2015 Last modified: 24/02/2015
      This final notice refers to breaches of PRIN 3, PRIN 8 and COBS related to unfair treatment of customers, conflicts of interest and culture / governance in the Asset management sector. We imposed a fine.

1198. FCA Final Notice 2014: Hamd Enterprises Limited [pdf]

      Final notices Published: 19/05/2014 Last modified: 07/04/2015
      This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.

1199. FCA Final Notice 2013: Jeffrey Simon Bennett [pdf]

      Final notices Published: 12/07/2013 Last modified: 19/05/2015
      This final notice refers to breaches of APER 6 related to misselling and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a fine, a prohibition order and withdrawal of approval.

1200. Final Notice 2015: Forexex Limited [pdf]

      Final notices Published: 24/07/2015 Last modified: 24/07/2015
      This final notice refers to breaches of Payment Services Regulations 2009, Regulation 13, related to lack of fitness/propriety and failing to be open and co-operative with the Authority. We imposed a refusal of the firm’s application for