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Showing 2171 to 2180 of 2435 search results for final notice refers to a failure.
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Final Notice 2019: Linear Investments Limited [pdf]
This final notice (Linear Investments Limited) refers to breaches of PRIN 3 related to market protection and market abuse in the trading firm sector. We imposed a fine. -
Final Notice 2017: We Source Any Vehicle Limited [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 2022: GAM International Management Limited [pdf]
The Final Notice refers to breaches of PRIN 2 and 8 related to the management of conflicts of interest in the asset management sector. We imposed a financial penalty. -
Final Notice 2017: KJ Precious Metal Trading LLP [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 2019: The Prudential Assurance Company Limited [pdf]
This Final Notice (The Prudential Assurance Company Limited) refers to breaches of PRIN 3 and PRIN 6 and relates to mis-selling and the unfair treatment of customers in the pensions sector. We imposed a fine. -
FCA Final Notice 2013: Bentley-Leek Financial Management Limited [pdf]
This final notice refers to breaches of TC related to threshold conditions in the investment advisers and platforms sector. We imposed a withdrawal. -
Final Notice: Norcounty Insurance Services Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the general insurance and protection and investment adviser sectors. We imposed a cancellation. -
Final notice 2020: GMAC Plumbing and Gas Services Ltd [pdf]
This final notice (GMAC Plumbing and Gas Services Ltd) 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 2015: Steven Martin [pdf]
This Final Notice refers to breaches of APER 6 and MCOB (Mortgage Conduct of Business Rules) related to unfair treatment of customers in the sale and rent back sector. We imposed a public censure and redress. -
Final Notice 2015: Andrew Baxter trading as Wealth Management [pdf]
This final notice refers to breaches of Principle 11 / COND related to threshold conditions and failing to be open and co-operative in the investment advisor sector. We imposed a cancellation.