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Showing 1371 to 1380 of 2435 search results for final notice refers to a failure.

1371. Final Notice 2021: Omar Hussein [pdf]

      Final notices Published: 15/10/2021
      This Final Notice refers to breaches of APER 1 and 7 related to failing to act with integrity and failing to demonstrate that suitable advice was given in the pensions sector. We imposed a financial penalty, withdrawal and prohibition.

1372. Final notice 2016: Jonathan R Milnes [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.

1373. FCA Final Notice 2013: Paul David Cable [pdf]

      Final notices Published: 19/07/2013 Last modified: 19/05/2015
      This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the general insurance and protection sector. We imposed a fine and a prohibition.

1374. Final Notice 2018: Ludu Energy Limited [pdf]

      Final notices Published: 01/02/2018
      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.

1375. Final Notice 2018: David Lloyd [pdf]

      Final notices Published: 08/05/2018
      This final notice (David Lloyd) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

1376. Final Notice 2020: Carl Brookes [pdf]

      Final notices Published: 30/09/2020 Last modified: 30/09/2020
      This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

1377. Notice of Decision 2024: MURRAY MOTORS (BELFAST) LIMITED [pdf]

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

1378. Notice of Decision 2024: Alternative Funding Centre Limited [pdf]

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

1379. Final Notice 2015: Robin Farrell [pdf]

      Final notices Published: 31/03/2015 Last modified: 31/03/2015
      This final notice refers to breaches of APER 1 and APER 7 related to conflicts of interests and lack of fitness/propriety in the investment advisor sector. We imposed a fine, withdrawal and prohibition.

1380. Final Notice 2015: Paul Reynolds [pdf]

      Final notices Published: 20/05/2015 Last modified: 20/05/2015
      This final notice refers to breaches of APER 1 and FIT related to mis-selling and failing to be open and co-operative in the investment advisor sector. We imposed a fine and a prohibition.