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Showing 1601 to 1610 of 2368 search results for This Final Notice refers to a failure.

  1. Final Notice 2018: C2 Group Ltd [pdf]

    Final notices Published: 08/05/2018
    This final notice (C2 Group Ltd) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  2. FCA Final Notice 2014: Arnold Gary Eber [pdf]

    Final notices Published: 27/02/2014 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to failing to be open and co-operative, and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a public censure and a prohibition.

  3. Final Notice 2018: John Lawrence Radford [pdf]

    Final notices Published: 30/08/2018
    This final notice refers to breaches of APER 6, APER 7 and CASS relating to client money/assets and lack of fitness/propriety in the general insurance and protection sector. We imposed a fine and prohibition.

  4. FCA Final Notice 2014: John Christopher Hughes [pdf]

    Final notices Published: 29/04/2014 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to market protection, wholesale conduct, and lack of fitness/propriety in the investment bank. We imposed a prohibition.

  5. Final notice 2016: Wayne Anthony Redgrave [pdf]

    Final notices Published: 01/02/2016 Last modified: 01/02/2016
    This final notice refers to breaches of APER 6 and ICOBS related to appointed representatives, failing to act on information appropriately and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

  6. FCA Final Notice 2013: Montague Capital Limited [pdf]

    Final notices Published: 10/05/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the asset management sector. We imposed a cancellation.

  7. FCA Final Notice 2013: Leader Transfer Limited [pdf]

    Final notices Published: 04/11/2013 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.

  8. Final Notice 2017: Grange Automotive (Simon Cheung trading as) [pdf]

    Final notices Published: 11/04/2017
    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.

  9. Final Notice 2022: Andrew Roy Brooke [pdf]

    Final notices Published: 06/04/2022
    This Final Notice (Andrew Roy Brooke) refers to breaches of FIT. We imposed a prohibition.

  10. FCA Final Notice 2014: David John Hewitt trading as Bexley Insurance Centre [pdf]

    Final notices Published: 12/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance, intermediary sector. We imposed a cancellation.
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