Search results
Showing 2091 to 2100 of 2368 search results for This Final Notice refers to a failure.
-
Final Notice 2017: Capita Financial Managers Limited [pdf]
This final notice refers to breaches of PRIN 2 and PRIN 7 related to financial promotions in the asset management sector. We imposed a public censure. -
Final Notice 2017: Foreman Financial Services Limited [pdf]
This final notice refers to breaches of COND, DISP, PRIN 6 and PRIN 11 related to threshold conditions, unfair treatment of customers and failing to be open and co-operative in the consumer credit and investment adviser sectors. We imposed a -
FCA Final Notice 2014: Stonebridge International Insurance Limited [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 6 related to unfair treatment of customers, mis-selling, and culture/governance in the general insurance and protection sector. We imposed a fine and redress. -
Final Notice 2017: Bluefin Insurance Services Limited [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 7 related to conflicts of interest, culture/governance and unfair treatment of customers in the general insurance and protection sector. We imposed a fine. -
Final Notice 2019: Standard Life Assurance Limited [pdf]
This final notice (Standard Life Assurance Limited) refers to breaches of PRIN 3, PRIN 6 and COBS related to the unfair treatment of customers in the Life Insurance sector. The FCA imposed a financial penalty. -
Final Notice 2017: Skelmersdale Credit Union Limited [pdf]
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the credit union sector. We imposed a cancellation. -
Final notice 2017: Healthy Homes Clean Air Limited [pdf]
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. -
Final Notice 2020: Renewable Technology Group Limited [pdf]
This final notice (Renewable Technology Group 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. -
Final Notice 2020: Andrew Totney Developments Limited [pdf]
This final notice (Andrew Totney Developments 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. -
Final Notice 2019: Henderson Investment Funds Limited [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 6 related to the unfair treatment of customers in the Asset Management sector. We imposed a financial penalty.