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Showing 1891 to 1900 of 2368 search results for This final notice refers to a failure.

  1. Final Notice 2022: Thomas Henry Ward [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Thomas Henry Ward) refers to breaches of section 63A FSMA and FIT related to a lack of fitness/propriety in the investment adviser and pensions sector. We imposed a prohibition and financial penalty.

  2. Final Notice 2020: London Executive Cars Limited [pdf]

    Final notices Published: 08/06/2020
    This final notice (London Executive Cars Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  3. Final Notice 2015: Exotic Money Services Limited [pdf]

    Final notices Published: 11/08/2015 Last modified: 11/08/2015
    This final notice refers to breaches of PSR, related to payment service regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation.

  4. Final Notice 2019: Savatori Oliverio [pdf]

    Final notices Published: 28/08/2019
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the private business adviser sector. We imposed a prohibition.

  5. Final Notice 2017: New Peterborough Auto Limited [pdf]

    Final notices Published: 12/04/2017
    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.

  6. Final Notice 2015: Alpha Accident Claims Limited [pdf]

    Final notices Published: 20/03/2015 Last modified: 20/03/2015
    This final notice refers to breaches of Threshold Conditions, PRIN 11, failing to be open and co-operative in the General Insurance Intermediary sector. We imposed a cancellation.

  7. Final Notice 2017: Merrill Lynch International [pdf]

    Final notices Published: 23/10/2017
    This final notice refers to breaches of PRIN 3 and Article 9 of EMIR relating to transaction reporting in the investment banking sector. We imposed a fine.

  8. Final Notice 2022: JLT Specialty Limited [pdf]

    Final notices Published: 22/06/2022
    This Final Notice (JLT Speciliaty Limited) refers to breaches of PRIN 3 related to anti-bribery and corruption and financial crime in the general insurance and protection sector. We imposed a financial penalty.

  9. Final Notice 2017: Marshall Motorcycles Ltd [pdf]

    Final notices Published: 24/10/2017
    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.

  10. Final Notice: Midland Motor Company Limited [pdf]

    Final notices Published: 13/10/2016
    This final notice refers to breaches of PRIN 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.
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