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Showing 1251 to 1260 of 2435 search results for final notice refers to a failure.

1251. FCA Final Notice 2013: Independent Asset Management U.K. Limited [pdf]

      Final notices Published: 04/09/2013 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 OIVOP and a cancellation.

1252. Final Notice 2024: Clive Harris Mongelard [pdf]

      Final notices Published: 12/07/2024
      “This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.” 

1253. FCA Final Notice 2014: HSBC Bank Plc [pdf]

      Final notices Published: 12/11/2014 Last modified: 07/04/2015
      This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

1254. Final Notice 2022: Hugh Edwards [pdf]

      Final notices Published: 28/04/2022
      This Final Notice (Hugh Edwards) refers to breaches of FIT. We imposed a prohibition.

1255. Final Notice 2015: John Joseph Financial Services Limited [pdf]

      Final notices Published: 30/09/2015 Last modified: 06/10/2015
      This final notice refers to breaches of PRIN 9, SYSC, COB and COBS related to mis-selling in the investment adviser sector. We imposed a fine.

1256. Notice of Decision 2023: Ocean Capital Credit Ltd [pdf]

      Decision notices Published: 21/07/2023
      The Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

1257. Notice of Decision 2024: Advance Dental Health Limited [pdf]

      Decision notices Published: 16/05/2024
      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. 

1258. Notice of Decision 2024: RedsWebs & Shop Design Ltd [pdf]

      Decision notices Published: 29/05/2024
      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

1259. Final Notice 2017: Joanne Fitzsimmons [pdf]

      Final notices Published: 10/05/2017
      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.

1260. Notice of Decision 2024: Chepstow Contract rentals Limited [pdf]

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