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Showing 431 to 440 of 1074 search results for Final Notice refers to breaches of PSR related.

  1. Final Notice 2018: Emily Cook [pdf]

    Final notices Published: 18/05/2018
    This final notice (Emily Cook) 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 2020: Adnan Hassan [pdf]

    Final notices Published: 16/10/2020 Last modified: 16/10/2020
    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 2020: Ballooner Limited [pdf]

    Final notices Published: 25/02/2020
    This final notice (Ballooner 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.

  4. Final Notice 2024: Inspirational Financial Management Ltd (in administration) [pdf]

    Final notices Published: 11/03/2024
    This Final Notice (Inspirational Financial Management Ltd (in administration)) refers to breaches of Principles 3, 6 and 9 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a financial

  5. FCA Final Notice 2014: Mark Ian Warner trading as Advanced Financial Management [pdf]

    Final notices Published: 29/05/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisor sector. We imposed an OIVOP and a cancellation.

  6. Final Notice: Danes Autos Limited [pdf]

    Final notices Published: 21/10/2016
    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.

  7. Final Notice 2015: Paul Christopher Ridden [pdf]

    Final notices Published: 18/02/2015 Last modified: 18/02/2015
    This final notice refers to breaches of FIT, related to threshold conditions in the consumer credit sector. We imposed a cancellation.

  8. Final Notice 2016: Scott Michael Crawley [pdf]

    Final notices Published: 01/11/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  9. Final Notice 2018: RSI Bank Plc [pdf]

    Final notices Published: 20/02/2018
    This final notice refers to breaches of COND related to Threshold conditions in the consumer credit sector. We imposed a refusal.

  10. FCA Final Notice 2013: Mustafa Dervish [pdf]

    Final notices Published: 18/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of APER 1 and 7 related to mis-selling, lack of fitness and propriety, and conflicts of interest in the investment advisors and platforms sector. We imposed a prohibition, withdrawal and a fine .
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