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Showing 961 to 970 of 2432 search results for final notice refers to a failure.
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Final Notice 2017: Parm Milap [pdf]
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. -
Notice of Decision 2023: James Anthony Donaldson (trading as Castle Credit Company) [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2023: A.S. Tractors (Scotland) Ltd [pdf]
This Notice of Decision (A.S. Tractors (Scotland) Ltd) refers to a failure to carry on regulated activities. We imposed a cancellation. -
Final notice 2016: W H Ireland Limited [pdf]
This final notice refers to breaches of PRIN 3 and SYSC related to market protection, culture/governance and conflicts of interest in the wealth management and private banking sector. We imposed a fine and restriction. -
Final Notice 2021: Mr Adrian Horn [pdf]
The Final Notice refers to breaches of MAR and FIT relating to Market Abuse in the Trading Firm sector. We imposed a Financial Penalty and Prohibition. -
Notice of Decision 2024: Christian James Cadwallader [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2023: Michael Joseph Bentley [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Final Notice 2017: Gary Drury [pdf]
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. -
Final Notice 2024: Robert Harriss [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the credit broker sector. We imposed a prohibition. -
Final Notice 2017: John Green [pdf]
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.