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Showing 1571 to 1580 of 2368 search results for This Final Notice refers to a failure.

  1. FCA Final Notice 2013: Sadiq Exchange Limited [pdf]

    Final notices Published: 29/10/2013 Last modified: 07/04/2015
    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.

  2. 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.

  3. Final Notice 2017: Best Broker Limited [pdf]

    Final notices Published: 20/11/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector. We imposed a cancellation.

  4. 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.

  5. 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.

  6. 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.

  7. Final notice 2016: Kildare Capital (UK) Limited [pdf]

    Final notices Published: 22/07/2016 Last modified: 22/07/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector. We imposed a cancellation.

  8. 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.

  9. Final Notice 2017: JNZ Autocentre Limited [pdf]

    Final notices Published: 10/04/2017
    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.

  10. FCA Final Notice 2014: Daniel James Plunkett [pdf]

    Final notices Published: 23/05/2014 Last modified: 07/04/2015
    This final notice refers to breaches of FIT, APER 1 and APER 3 related to lack of fitness and propriety, conflicts of interest in the investment banks sector. We imposed a prohibition and a fine.
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