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Showing 1531 to 1540 of 2435 search results for final notice refers to a failure.

1531. FCA Final Notice 2013: Richards Wines and Levy Limited [pdf]

      Final notices Published: 06/08/2013 Last modified: 07/04/2015
      This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

1532. Final Notice 2018: Jonathan Mathew [pdf]

      Final notices Published: 02/11/2018
      This final notice refers to breaches of FIT related to benchmarks, a lack of fitness/propriety and wholesale conduct in the retail bank sector. We imposed a prohibition.

1533. Notice of Decision 2023: George Donald (Warehouseman) Limited [pdf]

      Decision notices Published: 30/06/2023
      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation

1534. Final Notice 2015: Kenneth George Carver [pdf]

      Final notices Published: 30/03/2015 Last modified: 30/03/2015
      This final notice refers to breaches of MAR related to market abuse in the issuer sector. We imposed a fine.

1535. Final Notice 2020: Redcentric PLC [pdf]

      Final notices Published: 26/06/2020
      This final notice (Redcentric PLC) refers to a breach of section 118(7) FSMA and the committal of market abuse by the publishing of false and misleading information about the financial position of an AIM-listed company. We imposed a public censure

1536. Final Notice 2015: Sylhet Links Limited [pdf]

      Final notices Published: 21/07/2015 Last modified: 21/07/2015
      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.

1537. Final Notice 2019: Paul Stephany [pdf]

      Final notices Published: 05/02/2019
      This Final Notice (Paul Stephany) refers to breaches by an individual of Statement of Principle 2 and 3 relating to failing to observe proper standards of market conduct and failing to act with due skill, care and diligence in the asset management

1538. Notice of Decision 2024: High Street TV (Group) Limited [pdf]

      Decision notices Published: 22/01/2024
      This Notice of Decision refers to a failure to carry on regulated activities. We impose a cancellation.

1539. Final Notice 2017: Tejoori Limited [pdf]

      Final notices Published: 14/12/2017
      This final notice refers to breaches of the Market Abuse Regulation related to market abuse in the issuer sector. We imposed a fine.

1540. Final notice 2016: Dual Mortgage Brokers [pdf]

      Final notices Published: 29/06/2016 Last modified: 29/06/2016
      This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative and threshold conditions in the general insurance and protection sector. We imposed a cancellation.