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Showing 441 to 450 of 1074 search results for Final Notice refers to breaches of PSR related.

441. Final Notice 2018: Ludu Energy Limited [pdf]

     Final notices Published: 01/02/2018
     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.

442. Final notice 2018: VIP Wealth Ltd [pdf]

     Final notices Published: 06/03/2018
     This final notice refers to breaches of COND related to Threshold conditions in the wholesale sector. We imposed a refusal.

443. Final Notice 2017: John Clifford Jones [pdf]

     Final notices Published: 12/04/2017
     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.

444. Final Notice 2020: John Norton [pdf]

     Final notices Published: 29/05/2020
     This final notice (John Norton) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

445. Final Notice 2017: Alan Norman Gregson [pdf]

     Final notices Published: 20/02/2017
     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.

446. FCA Final Notice 2014: Michael Stanley Hirst [pdf]

     Final notices Published: 12/12/2014 Last modified: 12/12/2014
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition.

447. FCA Final Notice 2013: Xcap Securities PLC [pdf]

     Final notices Published: 11/06/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3, PRIN 10 related to client money/assets in the trading firms sector. We imposed a fine.

448. Final Notice 2018: Barot Bros (Bhupatsinh Barot trading as) [pdf]

     Final notices Published: 21/09/2018
     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.

449. Final Notice 2023: Keith Dickinson [pdf]

     Final notices Published: 13/09/2023
     This Final Notice refers to breaches of APER 2 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition and public censure. A payment of £70,000 is being made to the FSCS

450. FCA Final Notice 2013: Paul David Cable [pdf]

     Final notices Published: 19/07/2013 Last modified: 19/05/2015
     This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the general insurance and protection sector. We imposed a fine and a prohibition.