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Showing 1471 to 1480 of 2435 search results for final notice refers to a failure.

1471. Final Notice 2017: Deutsche Bank [pdf]

      Final notices Published: 31/01/2017
      This final notice refers to breaches of PRIN 3 and SYSC related to culture/governance and financial crime in the investment bank sector. We imposed a fine.

1472. Final Notice 2021: Credit Suisse International, Credit Suisse Securities (Europe) Ltd, and Credit Suisse AG [pdf]

      Final notices Published: 19/10/2021
      This Final Notice refers to breaches of Prin 2 and Prin 3 related to financial crime and anti-bribery and corruption failings in the investment banking sector. We imposed a financial penalty

1473. Final Notice 2018: John McCullagh [pdf]

      Final notices Published: 03/10/2018
      This final notice refers to breaches of FIT related to a lack of fitness/propriety in the consumer credit sector. We imposed a prohibition.

1474. Final Notice 2019: Kevin Gorman [pdf]

      Final notices Published: 20/12/2019
      This Final Notice refers to breaches of Article 19(1) of MAR related to failing to notify trading in shares to their issuer and the FCA as a PDMR in the issuer sector. We imposed a financial penalty.

1475. 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.

1476. 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.

1477. Notice of Decision 2024: Automotive Finance and Leasing Ltd [pdf]

      Decision notices Published: 09/01/2024
      The Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

1478. Final notice 2020: Exigotrade Ltd [pdf]

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

1479. Final Notice: Steven Smith [pdf]

      Final notices Published: 12/10/2016
      This final notice refers to breaches of APER 6 and PRIN 3 (knowingly concerned) related to financial crime and a lack of fitness/propriety in the retail bank sector. We imposed a fine and prohibition.

1480. Final Notice 2017: Kenneth Wills [pdf]

      Final notices Published: 11/04/2017
      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.