Search results
Showing 2031 to 2040 of 2435 search results for final notice refers to a failure.
-
Final Notice 2018: Eye Green Cars Limited [pdf]
This FCA final notice (Eye Green Cars 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. -
FCA Final Notice 2013: Catalyst Investment Group Limited [pdf]
This final notice refers to breaches of PRIN 1 and PRIN 6 related to financial promotions and unfair treatment of customers in the investment advisers and platforms sector. We imposed a public censure. -
Final Notice 2019: Eric Ka Chi Siu [pdf]
This final notice (Eric Ka Chi Siu) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. We imposed a financial penalty. -
Final notice 2018: City Docs Solutions 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 2016: Millburn Insurance Company Limited (in administration) [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector. We imposed a fine. -
Final Notice 2017: Clean Car Motor Company [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: Mr James Edward Staley [pdf]
This final notice (Mr James Edward Staley) refers to breaches of Individual Conduct Rule 2 (COCON 2.1.2) related to conflicts of interest (whistleblowing, CEO accountability) in the retail bank sector. We imposed a fine. -
Final Notice 2017: SFS Home Assist Limited [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 2020: Blue Gate Capital Limited [pdf]
This Final Notice (Blue Gate Capital Limited) refers to breaches of PRIN 2 and PRIN 7 related to financial promotions in the asset management sector. We imposed a requirement to pay restitution and a public censure. -
Final Notice 2017: Plantwell Hydraponics Limited [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.