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Showing 1401 to 1410 of 2368 search results for This final notice refers to a failure.

  1. Final notice 2020: Epos Up Limited [pdf]

    Final notices Published: 28/01/2020
    This final notice (Epos Up Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  2. FCA Final Notice 2013: Praetor Capital LLP [pdf]

    Final notices Published: 02/07/2013 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.

  3. FCA Final Notice 2013: Credit-2Go 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.

  4. FCA Final Notice 2014: 7722656 Canada Inc formerly carrying on business as Swift Trade Inc [pdf]

    Final notices Published: 24/01/2014 Last modified: 07/04/2015
    This final notice refers to breaches of MAR related to market abuse in the trading firms sector. We imposed a fine.

  5. Final Notice 2015: Paivi Grigg [pdf]

    Final notices Published: 11/12/2015 Last modified: 17/12/2015
    This final notice refers to breaches of APER 6 related to appointed representatives, culture/governance and unfair treatment of customers in the investment adviser sector . We imposed a fine.

  6. Final Notice: Motor Spot Limited [pdf]

    Final notices Published: 13/10/2016
    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.

  7. Final Notice 2017: Damian Frank Clarke [pdf]

    Final notices Published: 01/06/2017
    This final notice refers to a breach of FIT relating to a lack of fitness/propriety in the asset management sector. We imposed a prohibition.

  8. Final Notice 2022: TSB Bank plc [pdf]

    Final notices Published: 20/12/2022
    This Final Notice refers to breaches of Prin 2 related to failing to exercise due skill, care and diligence and Prin 3 for not taking reasonable care in organising and controlling its affairs responsibly and effectively, with adequate risk

  9. Final notice 2016: EVS Trading Limited [pdf]

    Final notices Published: 27/01/2016 Last modified: 27/01/2016
    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.

  10. FCA Final Notice 2014: Drain Claim Limited [pdf]

    Final notices Published: 07/01/2014 Last modified: 07/04/2015
    This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.
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