Search results
Showing 2111 to 2120 of 2368 search results for This final notice refers to a failure.
-
Final notice 2019: The Prudential Assurance Company Limited [pdf]
This Final Notice (The Prudential Assurance Company Limited) refers to breaches of PRIN 3 and PRIN 6 and relates to mis-selling and the unfair treatment of customers in the pensions sector. We imposed a fine. -
Final Notice 2017: KJ Precious Metal Trading LLP [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the investment adviser sector. We imposed a cancellation. -
Final Notice: Norcounty Insurance Services Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the general insurance and protection and investment adviser sectors. We imposed a cancellation. -
Final Notice 2019: R. Raphael & Sons Plc [pdf]
This final notice refers to breaches of PRIN 2, PRIN 3, SYSC 8 relating to culture/governance in the retail bank sector. We imposed a financial penalty. -
Final notice 2020: GMAC Plumbing and Gas Services Ltd [pdf]
This final notice (GMAC Plumbing and Gas Services 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 2015: Andrew Baxter trading as Wealth Management [pdf]
This final notice refers to breaches of Principle 11 / COND related to threshold conditions and failing to be open and co-operative in the investment advisor sector. We imposed a cancellation. -
Final Notice 2015: Anseba Cafe & International Exchange Limited [pdf]
This final notice refers to breaches of PSR, related to failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
Final notice 2016: Warranty Management Services Limited [pdf]
This final notice refers to a candidate for approval to perform controlled functions. The applicant firm and candidate did not provide sufficient information to satisfy us that the candidate met the honesty, integrity and reputation and financial -
Final Notice 2017: Three Bee’s Credit Union Limited [pdf]
This final notice refers to a cancellation of permission pursuant to exercising powers under section 55J of FSMA in the credit union sector. -
Final notice 2019: Professional Personal Claims Limited (PPC) [pdf]
This final notice refers to breaches of the Conduct of Authorised Persons Rules 2014 in relation to misleading consumers to claims in the claims management companies sector. We imposed a financial penalty.