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Showing 1801 to 1810 of 2435 search results for final notice refers to a failure.
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Final Notice 2021: Sunrise Brokers LLP [pdf]
This Final Notice (Sunrise Brokers LLP) refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty -
Final Notice 2015: John Edward Duncan Field [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Notice of Decision 2023: Client's First Financial Consultants Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Further Final Notice 2020: Lloyd Arnold Pope [pdf]
This Final Notice (Lloyd Arnold Pope) refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety and conflicts of interest in the Investment Adviser and Pensions sector. We imposed a financial penalty, a prohibition and -
Final Notice 2019: Alison Mary Mills [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety. We imposed a prohibition. -
Final Notice 2018: Verwood Motors Ltd [pdf]
This final notice (Verwood Motors Ltd) 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 2020: Forward Leasing Ltd [pdf]
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. -
Final Notice 2017: All Motors Cardiff [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. -
Notice of Decision 2024: Derby Road Car Sales 2015 Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Final Notice 2017: John Charles Berry [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.