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Showing 1431 to 1440 of 2368 search results for This Final Notice refers to a failure.
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Final Notice 2017: Woodworks (Derby) Ltd [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 2017: Jonathan David Lee [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. -
Final Notice 2017: Lyndon Alun Davies [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: Arthur Jonathan Cobill [pdf]
This Final Notice (Arthur Jonathan Cobill) refers to a breach of APER Statement of Principle 2 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition. It has been -
Final Notice 2020: Sukhvir Tiwana [pdf]
This final notice (Sukhvir Tiwana) 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 2020: Adrian Doherty [pdf]
This final notice (Adrian Doherty) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
FCA Final Notice 2014: Shahid Sultan Babar [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation. -
Final Notice 2016: Macba Limited [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 2021: Credit Suisse International, Credit Suisse Securities (Europe) Ltd, and Credit Suisse AG [pdf]
This Final Notice refers to breaches of Prin 2 and Prin 3 related to financial crime and anti-bribery and corruption failings in the investment banking sector. We imposed a financial penalty -
Final Notice: Steven Smith [pdf]
This final notice refers to breaches of APER 6 and PRIN 3 (knowingly concerned) related to financial crime and a lack of fitness/propriety in the retail bank sector. We imposed a fine and prohibition.