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Showing 1721 to 1730 of 2368 search results for This Final Notice refers to a failure.
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Final Notice 2017: Venture15 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 2020: Paul Michael Grant [pdf]
This final notice (Paul Michael Grant) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2018: Christopher Paul Brotherton [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety and unfair treatment of customers in the consumer credit sector. We imposed a prohibition. -
Final Notice 2015: Deutsche Bank AG [pdf]
This final notice refers to breaches of PRIN 5, PRIN 3 and PRIN 11 related to wholesale conduct, benchmarks, failing to be open and co-operative and culture/governance in the investment bank sector. We imposed a fine. -
Final Notice 2017: Mymoneyman Finance Limited [pdf]
This final notice refers to breaches of COND and PRIN 1.1 related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final Notice: Samlet Car Sales 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 2018: Paul John Flowers [pdf]
This final notice refers to a lack of fitness and propriety and is related to culture/governance in the retail bank sector. We imposed a prohibition. -
Final Notice 2020: Small Batch Coffee Ltd [pdf]
This final notice (Small Batch Coffee Ltd) 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 2019: Jin-Yi Lee [pdf]
This final notice (Jin-Yi Lee) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. We imposed a financial penalty. -
Final Notice 2019: Mark John Owen [pdf]
This final notice (Mark John Owen) refers to breaches by an executive director of APER 1, APER 4 and FIT related to a lack of fitness/propriety and failing to act on information appropriately in the asset management sector. We imposed a fine and