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Showing 571 to 580 of 2139 search results for Final Notice refers to breaches.

571. Final Notice 2015: Peter Charles Legerton [pdf]

     Final notices Published: 20/03/2015 Last modified: 20/03/2015
     This final notice refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety, and conflicts of interests in the investment adviser sector. We imposed a public censure, withdrawal, and a prohibition.

572. Final notice 2016: Wayne Anthony Redgrave [pdf]

     Final notices Published: 01/02/2016 Last modified: 01/02/2016
     This final notice refers to breaches of APER 6 and ICOBS related to appointed representatives, failing to act on information appropriately and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

573. Final Notice 2018: Terence Sefton Potter [pdf]

     Final notices Published: 29/05/2018
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment sector. We imposed a prohibition.

574. Final Notice 2022: Sumer 62 Ltd [pdf]

     Final notices Published: 14/01/2022
     This final notice refers to breaches of the PSR, related to failing to meet the conditions for registration in the payment systems sector. We imposed a cancellation.

575. FCA Final Notice 2013: Sovereign Financial Solutions Limited [pdf]

     Final notices Published: 04/06/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

576. Final Notice 2017: Emrose Dean Ltd [pdf]

     Final notices Published: 21/08/2017
     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.

577. Final Notice 2015: John Edward Duncan Field [pdf]

     Final notices Published: 15/07/2015 Last modified: 15/07/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

578. FCA Final Notice 2014: Arnold Gary Eber [pdf]

     Final notices Published: 27/02/2014 Last modified: 07/04/2015
     This final notice refers to breaches of FIT related to failing to be open and co-operative, and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a public censure and a prohibition.

579. Final Notice 2018: John Lawrence Radford [pdf]

     Final notices Published: 30/08/2018
     This final notice refers to breaches of APER 6, APER 7 and CASS relating to client money/assets and lack of fitness/propriety in the general insurance and protection sector. We imposed a fine and prohibition.

580. Final notice 2016: Bar Professions Limited (in liquidation) [pdf]

     Final notices Published: 01/02/2016 Last modified: 01/02/2016
     This final notice refers to breaches of PRIN 2, PRIN 7 and ICOBS related to appointed representatives and failing to act on information appropriately in the general insurance and protection sector. We imposed a public censure.