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Showing 1941 to 1950 of 2368 search results for This Final Notice refers to a failure.

  1. Final Notice 2017: G & T Office Equipment [pdf]

    Final notices Published: 17/05/2017
    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.

  2. Final Notice 2020: HMC Cars & Vans Limited [pdf]

    Final notices Published: 05/08/2020
    This final notice HMC Cars & Vans Limited refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  3. Final Notice 2020: Clacton Car Sales Ltd [pdf]

    Final notices Published: 21/05/2020
    This final notice (Clacton Car Sales Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  4. FCA Final Notice 2013: Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited [pdf]

    Final notices Published: 02/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3, PRIN 10 and CASS related to client money in the asset management sector. We imposed a financial penalty.

  5. FCA Final Notice 2014: Forex Capital Markets Limited (FXCM Ltd) and FXCM Securities Limited (FXCM Securities) [pdf]

    Final notices Published: 26/02/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 6, PRIN 11, and COBS related to unfair treatment of customers, and failing to be open and co-operative in the trading firms sector. We imposed a fine and redress.

  6. Final Notice 2015: Minis 4 All Tastes Limited [pdf]

    Final notices Published: 29/06/2015 Last modified: 29/06/2015
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

  7. Market Watch 79

    Newsletters Published: 09/05/2024 Last modified: 09/05/2024
    Newsletter on market abuse surveillance and data governance, surveillance failures and the FCA's model testing peer review, May 2024.

  8. FCA Final Notice 2013: The Transportation Group (UK) Limited [pdf]

    Final notices Published: 02/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of TC related to threshold conditions in the designated investment business sector. We imposed a cancellation.

  9. FCA Final Notice 2014: Barclays Bank PLC - September 2014 [pdf]

    Final notices Published: 23/09/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3, PRIN 10, and CASS related to client money/assets in the investment banks sector. We imposed a fine.

  10. Final Notice 2019: Vale Veterinary Group [pdf]

    Final notices Published: 25/07/2019
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in
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