Search results
Showing 2001 to 2010 of 2435 search results for final notice refers to a failure.
-
Final Notice 2017: G & T Office Equipment [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 2018: Swift Cash UK Limited [pdf]
This final notice refers to breaches of the PSR relating to Payment Services Regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
Final Notice 2015: Glocal Capital Partners Limited [pdf]
This final notice refers to breaches of Threshold Conditions, PRIN 11 related to failing to be open and co-operative in the Designated Investment Business sector. We imposed a cancellation. -
Final notice 2016: Analyst Investment Management Plc [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the investment adviser sector. We imposed a cancellation. -
Final Notice 2020: HMC Cars & Vans Limited [pdf]
This final notice HMC Cars & Vans Limited 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: Clacton Car Sales Ltd [pdf]
This final notice (Clacton Car Sales Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
FCA Final Notice 2014: Forex Capital Markets Limited (FXCM Ltd) and FXCM Securities Limited (FXCM Securities) [pdf]
This final notice refers to breaches of PRIN 6, PRIN 11, and COBS related to unfair treatment of customers, and failing to be open and co-operative in the trading firms sector. We imposed a fine and redress. -
FCA Final Notice 2014: Catalyst Fund Management Limited [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisor sector. We imposed a cancellation. -
FCA Final Notice 2013: Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited [pdf]
This final notice refers to breaches of PRIN 3, PRIN 10 and CASS related to client money in the asset management sector. We imposed a financial penalty. -
Final Notice 2015: Minis 4 All Tastes Limited [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.