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Showing 911 to 920 of 2431 search results for final notice refers to a failure.

  1. Final Notice 2017: Tesco plc [pdf]

    Final notices Published: 28/03/2017
    This final notice refers to breaches of s.118(7) related to market abuse in the issuer sector. We imposed a restitution.

  2. Notice of Decision 2024: Alastair Hanson Limited [pdf]

    Decision notices Published: 28/02/2024
    This Notice of Decision refers to a failure to carry on regulated activity. We imposed a Cancellation

  3. FCA Final Notice 2013: Westwood Independent Financial Planners [pdf]

    Final notices Published: 17/12/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to mis-selling and unfair treatment of customers in the investment advisers and platforms sector. We imposed a fine.

  4. Notice of Decision 2024: Ispiri Wheels UK Ltd [pdf]

    Decision notices Published: 10/07/2024
    This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation.

  5. Notice of Decision 2023: Lucasaide - Gems Limited [pdf]

    Decision notices Published: 21/12/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  6. Notice of Decision 2023: Raymond Supplies Ltd [pdf]

    Decision notices Published: 18/10/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We therefore imposed a cancellation.

  7. Final notice 2016: Achilles Macris [pdf]

    Final notices Published: 09/02/2016 Last modified: 09/02/2016
    The case concerns breaches of APER 4 related to Mr Macris’ failure to deal with the Authority in an open and cooperative way. We also imposed a financial penalty on Mr Macris.

  8. Final notice 2016: Naimat Gul [pdf]

    Final notices Published: 22/08/2016
    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.

  9. Notice of Decision 2024: Ms Cars Worksop Limited [pdf]

    Decision notices Published: 01/05/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  10. Decision Notice 2023: Rose Marie Anderson [pdf]

    Decision notices Published: 24/07/2023
    Notice of Decision: Rose Marie Anderson Conduct: Failing to carry on regulated activities Breaches: N/A
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