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Showing 281 to 290 of 1074 search results for Final Notice refers to breaches of PSR related.

  1. Final Notice 2022: JLT Specialty Limited [pdf]

    Final notices Published: 22/06/2022
    This Final Notice (JLT Speciliaty Limited) refers to breaches of PRIN 3 related to anti-bribery and corruption and financial crime in the general insurance and protection sector. We imposed a financial penalty.
  2. Final Notice 2016: Robin Cawley [pdf]

    Final notices Published: 26/10/2016
    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.
  3. Final Notice 2016: TOCC Limited [pdf]

    Final notices Published: 30/11/2016
    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.
  4. Final Notice 2016: Waap Limited [pdf]

    Final notices Published: 13/12/2016
    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.
  5. Final Notice 2024: Clint Canning (AKA Christian Beauchamp AKA Clint Foster) [pdf]

    Final notices Published: 16/02/2024
    This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.
  6. Final Notice 2020: North West Seamless Coating Ltd [pdf]

    Final notices Published: 06/02/2020
    This final notice (North West Seamless Coating Ltd ) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.
  7. Final Notice 2015: LAFM Limited (formerly known as Lloyd Anderson Financial Management Limited) [pdf]

    Final notices Published: 12/02/2015 Last modified: 12/02/2015
    This final notice refers to breaches of Principle 11, related to threshold conditions in the consumer credit sector. We imposed a cancellation.
  8. Final Notice 2020: Easydrive Cars Ltd [pdf]

    Final notices Published: 01/07/2020
    This final notice (Easydrive Cars 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.
  9. FCA Final Notice 2013: Alison Moran [pdf]

    Final notices Published: 04/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 6 related to financial promotions and unfair treatment of customers in the investment advisers and platforms sector. We imposed a penalty.
  10. Final Notice 2017: Stephen Moore [pdf]

    Final notices Published: 31/03/2017
    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.