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Showing 1721 to 1730 of 2435 search results for final notice refers to a failure.
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Final Notice 2015: Barclays Bank PLC - November 2015 [pdf]
This final notice refers to breaches of PRIN 2 related to financial crime failings. We imposed a fine. -
Final notice 2016: Andrea Christine Sadler [pdf]
This final notice refers to breaches of APER 6 and FIT related to appointed representatives, client money, failing to act on information appropriately, lack of fitness/propriety and unfair treatment of customers in the general insurance and -
Final notice 2016: M I Wealth Management Limited [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and cooperative and threshold conditions in the general insurance and protection sector. We imposed a cancellation. -
FCA Final Notice 2014: Peter Halpin [pdf]
This final notice refers to breaches of APER 7 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the general insurance and protection sector. We imposed a fine and a prohibition -
FCA Final Notice 2014: Yorkshire Building Society [pdf]
This final notice refers to breaches of PRIN 7 related to financial promotions in the building society sector. We imposed a fine. -
Final Notice 2018: Easy World Ltd [pdf]
This final notice (Easy World Ltd) refers to breaches of payment services regulations (PSR) related to failing to be open and co-operative in the payment services sector. For the interest and protection of Consumers, we imposed a cancellation -
Final Notice 2016: Money Matcher Limited [pdf]
This final notice refers to an application for Part 4A authorisation (“the Application”) by a firm holding Interim Permission in respect of the regulated activities subject to the Application. Due to concerns about the firm’s ability to -
Final Notice 2017: Car For Today Ltd [pdf]
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. -
Final Notice 2015: Oracle Financial Planning [pdf]
This final notice refers to breaches of Threshold Conditions and PRIN 11 related to failing to be open and co-operative in the general insurance intermediary sector. We imposed a cancellation. -
Final Notice 2017: Motor Palace Ltd [pdf]
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.