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Showing 1621 to 1630 of 2435 search results for final notice refers to a failure.

1621. Final Notice 2017: David Stanley Mather [pdf]

      Final notices Published: 03/02/2017
      This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the investment adviser, mortgages and general insurance and protection sector. We imposed a cancellation.

1622. Final Notice 2018: Marcel Rochester [pdf]

      Final notices Published: 01/05/2018
      This final notice (Marcel Rochester) refers to breaches of Principle 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

1623. Final Notice 2020: HMS Cars Ltd [pdf]

      Final notices Published: 21/05/2020
      This final notice (HMS Cars Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

1624. Final notice 2016: Solutions on Call Limited [pdf]

      Final notices Published: 21/01/2016 Last modified: 21/01/2016
      This final notice refers to breaches of Principle 11 related to Threshold Conditions and failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

1625. Final Notice 2018: Guillaume Adolph [pdf]

      Final notices Published: 05/03/2018
      This final notice refers to breaches of PRIN 5 and FIT related to benchmarks, lack of fitness/propriety and wholesale conduct in the investment bank sector. We imposed a fine and a prohibition.

1626. Final Notice 2015: Paul Christopher Ridden [pdf]

      Final notices Published: 18/02/2015 Last modified: 18/02/2015
      This final notice refers to breaches of FIT, related to threshold conditions in the consumer credit sector. We imposed a cancellation.

1627. Final notice 2016: Peter Charles Bottomley [pdf]

      Final notices Published: 08/03/2016 Last modified: 08/03/2016
      This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

1628. Final Notice 2017: Tonik Mobility Limited [pdf]

      Final notices Published: 24/07/2017
      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.

1629. Final Notice 2023: Christopher Vincent Summers [pdf]

      Final notices Published: 03/10/2023
      This Final Notice (Christopher Vincent Summers) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

1630. Notice of Decision 2023: Ivan John Barker (trading as Goodwin Park) [pdf]

      Decision notices Published: 14/11/2023
      This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation.