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Showing 2141 to 2150 of 2368 search results for This Final Notice refers to a failure.
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Final Notice 2019: DMC Health Wize 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 2019: Potters’ Music Shop (Croydon) Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in -
Final Notice 2018: Liberty Mutual Insurance Europe SE [pdf]
This final notice refers to breaches of PRIN 3, PRIN 6, SYSC, ICOBS and DISP related to complaints-handling, culture/governance and unfair treatment of customers in the general insurance and protection sector. We imposed a fine. -
Final Notice 2015: 15/1 Consumer credit application refusal [pdf]
This summary of a final notice refers to breaches of COND and TC related to lack of fitness/propriety and failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final notice 2020: D.B.Holdings (West Yorkshire) Ltd [pdf]
This final notice (D.B.Holdings (West Yorkshire) 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 2016: El-Essawy Holistic Care Limited [pdf]
This final notice refers to a breach of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2015: The Bank of New York Mellon London Branch / The Bank of New York Mellon (International) Ltd [pdf]
This final notice refers to breaches of PRIN 10 and CASS related to client assets in the investment bank sector. We imposed a fine. -
Final Notice 2022: Henderson Carter Associates Limited [pdf]
This Final Notice (Henderson Carter Associates Limited) refers to breaches of PRIN 1 and Section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a public censure. -
Final Notice 2017: Tolworth Motor Company (Surrey) 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. -
First Supervisory Notice 2019: Coutts Automobiles Limited [pdf]
This first supervisory notice refers to a failure to satisfy the suitability threshold condition (COND) and breaches of PRIN. We varied the firm’s permission.