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Showing 311 to 320 of 1074 search results for Final Notice refers to breaches of PSR related.

  1. Final Notice 2016: Bradley Bailey [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.

  2. Final Notice 2016: Mohammed Wajid [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. FCA Final Notice 2014: Debt Plan UK Ltd [pdf]

    Final notices Published: 26/07/2014 Last modified: 07/04/2015
    This final notice refers to breaches of TC and CONC related to threshold conditions in the consumer credit sector. We imposed a refusal.

  4. Final Notice 2017: Joanne Fitzsimmons [pdf]

    Final notices Published: 10/05/2017
    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.

  5. Final notice 2016: Russell Blakey [pdf]

    Final notices Published: 30/06/2016 Last modified: 30/06/2016
    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.

  6. FCA Final Notice 2014: Financial Limited [pdf]

    Final notices Published: 23/07/2014 Last modified: 13/03/2015
    This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction.

  7. FCA Final Notice 2014: Paul Catterall [pdf]

    Final notices Published: 19/06/2014 Last modified: 07/04/2015
    This final notice refers to breaches of COND related to threshold conditions, and lack of fitness/propriety in the general insurance and protection sector. We imposed a refusal.

  8. Final notice 2016: PDHL Limited [pdf]

    Final notices Published: 10/03/2016 Last modified: 10/03/2016
    This final notice refers to numerous breaches of CONC Chapter 8 related to an inability to meet Threshold Condition 2D (appropriate non-financial resources) and 2E (Suitability) in the Consumer Credit: Debt Management sector. We imposed a refusal of

  9. Final Notice 2017: Reuben Anderson [pdf]

    Final notices Published: 24/01/2017
    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.

  10. Final Notice 2015: Mothahir Miah [pdf]

    Final notices Published: 17/11/2015 Last modified: 17/11/2015
    This final notice refers to breaches of APER 1 and FIT related to lack of fitness/propriety, unfair treatment of customers and conflicts of interest in the asset management sector. We imposed a fine and a prohibition.
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