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Showing 1511 to 1520 of 2435 search results for final notice refers to a failure.

  1. FCA Final Notice 2013: Clydesdale Bank PLC [pdf]

    Final notices Published: 26/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 6 related to unfair treatment of customers in the retail banks sector. We imposed a fine and redress.

  2. Final Notice: Danes Autos Limited [pdf]

    Final notices Published: 21/10/2016
    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.

  3. Final Notice 2017: Alan Norman Gregson [pdf]

    Final notices Published: 20/02/2017
    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.

  4. Final Notice 2020: John Butterfield [pdf]

    Final notices Published: 12/10/2020 Last modified: 12/10/2020
    This Final Notice (John Leonard Butterfield) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.

  5. FCA Final Notice 2013: ICAP Europe Ltd [pdf]

    Final notices Published: 25/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firms sector. We imposed a fine.

  6. Final Notice 2019: Bank of Scotland Plc [pdf]

    Final notices Published: 21/06/2019
    This final notice refers to breaches of PRIN 11 and SUP, relating to failing to be open and cooperative in the retail bank sector. We imposed a financial penalty.

  7. Final Notice 2017: David Samuel Watters [pdf]

    Final notices Published: 14/07/2017
    This final notice refers to breaches of APER 6 related to a lack of competence in the pensions sector.

  8. Final notice 2016: AKV Vehicles Limited [pdf]

    Final notices Published: 25/02/2016 Last modified: 25/02/2016
    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.

  9. FCA Final Notice 2014: Pritchard Stockbrokers Limited (In Special Administration) [pdf]

    Final notices Published: 09/10/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 1, PRIN 2, PRIN 10 related to client money/assets in the asset management sector. We imposed a public censure.

  10. Final Notice 2017: Voxsan Limited [pdf]

    Final notices Published: 19/10/2017
    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.
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