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Showing 1791 to 1800 of 2435 search results for final notice refers to a failure.

  1. Final notice 2020: Intignis Media Ltd [pdf]

    Final notices Published: 21/05/2020
    This final notice (Intignis Media Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  2. Final notice 2016: Timothy Alan Roberts [pdf]

    Final notices Published: 08/04/2016 Last modified: 11/04/2016
    This final notice refers to breaches of APER 1 and APER 6 related to the unfair treatment of customers in the investment adviser sector. We imposed a fine and prohibition.

  3. Final Notice: Samlet Car Sales Ltd [pdf]

    Final notices Published: 14/10/2016
    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.

  4. Final notice 2019: Swell Vans Limited [pdf]

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

  5. Final Notice 2019: LMA Motors Limited [pdf]

    Final notices Published: 16/10/2019
    This final notice (LMA Motors Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  6. Final Notice 2017: Prestige Cars of Essex Ltd [pdf]

    Final notices Published: 03/08/2017
    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.

  7. Final Notice 2021: David Nicholas King [pdf]

    Final notices Published: 22/07/2021
    This Final Notice (David Nicholas King) refers to FIT relating to a lack of honesty and integrity in the investment advisory sector. We imposed a prohibition.

  8. Notice of Decision to Cancel: Housemaids4You Ltd [pdf]

    Cancellation notices Published: 16/10/2018
    This decision notice refers to the failure to pay a fee to the Authority required under The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017. Our view is that a cancellation should be imposed.

  9. Final Notice 2019: Prindiville Plc [pdf]

    Final notices Published: 25/07/2019
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in

  10. FCA Final Notice 2013: AXA Wealth Services Ltd (“AXA”) [pdf]

    Final notices Published: 13/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 9 and COBS related to mis-selling in the investment advisers and platforms sector. We imposed a fine.
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