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Showing 1441 to 1450 of 2435 search results for final notice refers to a failure.

1441. Final Notice 2017: Adam Lancelot [pdf]

      Final notices Published: 20/09/2017
      This final notice refers to breaches of FIT related to lack of fitness/propriety in the Investment Adviser sector. We imposed a prohibition.

1442. Final Notice 2016: KMLM Ltd [pdf]

      Final notices Published: 22/11/2016
      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.

1443. FCA Final Notice 2013: Kuya J’s Filipino Store Limited [pdf]

      Final notices Published: 02/07/2013 Last modified: 07/04/2015
      This Final Notice refers to breaches of PSR related to failing to be open and co-operative in the

1444. Final Notice 2016: Remote Audit Ltd [pdf]

      Final notices Published: 21/11/2016
      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.

1445. Final notice 2015: Vroni O'Brien [pdf]

      Final notices Published: 17/12/2015 Last modified: 17/12/2015
      This final notice refers to breaches of APER 2, APER 7, FIT and CASS related to a lack of fitness/propriety, client money/assets and failing to act on information appropriately in the general insurance and protection sector. We imposed a fine and

1446. Final Notice 2016: Dale Robert Walker [pdf]

      Final notices Published: 01/11/2016
      This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

1447. Notice of Decision 2024: Bradford Motorcycle Centres Limited [pdf]

      Decision notices Published: 18/01/2024
      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

1448. Final notice 2016: CT Capital Limited [pdf]

      Final notices Published: 01/06/2016 Last modified: 01/06/2016
      This final notice refers to breaches of PRIN 3 and PRIN 6 related to complaints-handling and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

1449. Final Notice 2021: Colin Bermingham [pdf]

      Final notices Published: 01/11/2021
      This Final Notice (Colin Bermingham) refers to breaches of FIT related to Lack of fitness/propriety in the Investment Banking. We imposed a prohibition.

1450. Notice of Decision 2023: Buchanan Financial Group Limited [pdf]

      Decision notices Published: 03/08/2023
      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.