Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 261 to 270 of 1331 search results for This Final Notice refers to breaches of FIT.

  1. Final Notice 2019: Andrew Morris Cars Ltd [pdf]

    Final notices Published: 25/07/2019
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in

  2. Final Notice 2024: Paydog Ltd [pdf]

    Final notices Published: 23/04/2024
    This Final Notice refers to a failure to carry on payment service activities. We imposed a cancellation.  

  3. Final Notice 2023: Andrew John Deeney [pdf]

    Final notices Published: 28/09/2023
    This Final Notice (Andrew John Deeney) refers to breaches of APER 1 related to the provision of unsuitable defined benefit pension transfer advice in the pensions and investments sector. We imposed a financial penalty and prohibition.

  4. Final Notice 2021: Ron Treherne IFA Ltd [pdf]

    Final notices Published: 25/05/2021
    This Final Notice (Ron Treherne IFA Ltd) refers to breaches of COND, PRIN 6 and PRIN 11 by a financial adviser. We imposed a cancellation of the adviser’s Part 4A permission.

  5. Final Notice 2015: Alina Business & Financial Services Limited [pdf]

    Final notices Published: 14/01/2015 Last modified: 14/01/2015
    This final notice refers to breaches of PSR related to the Payment Services Regulations in the payment services sector. We imposed a cancellation.

  6. Final notice 2016: Pacific Continental Securities (UK) Limited (In Liquidation) [pdf]

    Final notices Published: 15/03/2016 Last modified: 17/03/2016
    This final notice refers to breaches of Prin 4, Cond and IPRU-INV related to threshold conditions in the investment advisor sector. We imposed a cancellation.

  7. Final notice 2016: R Sadler [pdf]

    Final notices Published: 12/05/2016 Last modified: 12/05/2016
    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.

  8. Final Notice 2024: Arthur Jonathan Cobill [pdf]

    Final notices Published: 11/03/2024
    This Final Notice (Arthur Jonathan Cobill) refers to a breach of APER Statement of Principle 2 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition. It has been

  9. FCA Final Notice 2015: Tiuta Plc [pdf]

    Final notices Published: 05/11/2015 Last modified: 05/11/2015
    This Final Notice refers to breaches of PRIN 4, COND, MIPRU and IPRU-INV related to threshold conditions in the investment adviser sector. We imposed a cancellation.

  10. Final Notice 2019: Pitshop Motors (Swindon) Ltd [pdf]

    Final notices Published: 25/07/2019
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in
Related topics