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Showing 1331 to 1340 of 2435 search results for final notice refers to a failure.

1331. Final Notice 2015: Lee Bruce Stewart [pdf]

      Final notices Published: 30/07/2015 Last modified: 30/07/2015
      This final notice refers to breaches of FIT related to lack of fitness/propriety in the trading firms sector. We imposed a prohibition.

1332. Final Notice 2018: Barot Bros (Bhupatsinh Barot trading as) [pdf]

      Final notices Published: 21/09/2018
      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.

1333. Notice of Decision 2024: Nautilus Management Solutions Ltd [pdf]

      Decision notices Published: 23/05/2024
      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

1334. Notice of Decision 2024: Phillips Price Services Limited [pdf]

      Decision notices Published: 15/01/2024
      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

1335. Final Notice 2020: Peter Howson [pdf]

      Final notices Published: 12/10/2020 Last modified: 12/10/2020
      This Final Notice (Peter Anthony Hoswon) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.

1336. Final Notice 2020: Aviva plc [pdf]

      Final notices Published: 26/10/2020
      This Final Notice (Aviva plc) refers to breaches of Listing Rule 1.3.3R and Transparency Rule 1A.3.2R related to Listing rules/DTR breaches in the General Insurance and Protection sector. We issued a public censure. File updated with accessibility

1337. FCA Final Notice 2014: Mark Ian Warner trading as Advanced Financial Management [pdf]

      Final notices Published: 29/05/2014 Last modified: 07/04/2015
      This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisor sector. We imposed an OIVOP and a cancellation.

1338. Final Notice 2018: Alan Taylor [pdf]

      Final notices Published: 14/11/2018
      This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

1339. Notice of Decision 2024: Used Cars of South Wales Limited [pdf]

      Decision notices Published: 22/05/2024
      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.     

1340. Final Notice 2015: United Forex Limited [pdf]

      Final notices Published: 05/08/2015 Last modified: 05/08/2015
      This final notice refers to breaches of PSR, related to failing to be open and co-operative in the payment services sector. We imposed a cancellation.