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Showing 1391 to 1400 of 2435 search results for final notice refers to a failure.

  1. Final notice 2016: Mark Andrew Walker [pdf]

    Final notices Published: 13/07/2016 Last modified: 13/07/2016
    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.

  2. FCA Final Notice 2014: David Lloyd Wren [pdf]

    Final notices Published: 03/04/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the general insurance and protection sector. We imposed a withdrawal of approval, a fine and a prohibition.

  3. Notice of Decision 2024: Greenbank Caravans & Trailers Limited [pdf]

    Decision notices Published: 10/05/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. 

  4. Final Notice 2018: Rose Motors (Philip Meyer trading as) [pdf]

    Final notices Published: 04/01/2018
    The 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.

  5. Final Notice 2022: Sir Christopher Gent [pdf]

    Final notices Published: 05/08/2022 Last modified: 12/08/2022
    This Final Notice (Sir Christopher Gent) refers to breaches of the Market Abuse Regulations related to unlawful disclosure of inside information in the issuers sector. We imposed a financial penalty

  6. FCA Final Notice 2013: Ali Parvez Shaikh [pdf]

    Final notices Published: 01/10/2013 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.

  7. Final notice 2016: Lynda Jayne Croome [pdf]

    Final notices Published: 08/01/2016 Last modified: 08/01/2016
    This final notice refers to the Authority’s objection to an acquisition under section 186 (a) FSMA based on an assessment made in accordance with section 185 FSMA that the acquirer lacked suitability.

  8. Final Notice 2017: Vicarge Autos Ltd [pdf]

    Final notices Published: 23/06/2017
    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.

  9. Final Notice 2017: HRS (Luton) Limited [pdf]

    Final notices Published: 02/05/2017
    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.

  10. 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
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