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Showing 1831 to 1840 of 2368 search results for This final notice refers to a failure.
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Final Notice 2017: Alistair Charles Proctor [pdf]
This final notice 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 2015: Reckitt Benckiser Group Plc [pdf]
This final notice refers to breaches of LR and DTR related to listing rules breaches in the issuer sector. We imposed a financial penalty. -
Final notice 2020: Elizabeth Marie Walker [pdf]
This final notice (Elizabeth Marie Walker) refers to a candidate for approval to perform a controlled function. The candidate did not satisfy us that she met the competence and capability criteria of the FCA’s Fit and Proper Person Test. We -
Final notice 2016: Peter Francis Johnson [pdf]
This final notice refers to breaches of APER 1, APER 4 and FIT related to failing to be open and co-operative, failing to act on information appropriately, a lack of fitness/propriety and mis-selling in the asset management sector. We imposed a -
Final Notice: Select Motor Company 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 2020: Corrado Abbattista [pdf]
This Final Notice refers to breaches of FIT and MAR related to market abuse in the trading firm sector. We imposed a prohibition and financial penalty. File updated to include autotag accessibility requirement. -
Final Notice 2017: Olympic Motor Company [pdf]
This final notice 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 2018: Fairbourne Assist Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection. We imposed a cancellation. -
Final Notice 2018: Michael George Hutley [pdf]
This final notice refers to breaches of Principle 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final notice 2016: Volpe Capital Management LLP [pdf]
This final notice refers to a breach of PRIN 11 related to failing to be open and co-operative in the investment adviser sector. We imposed a cancellation.