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Showing 451 to 460 of 1331 search results for This Final Notice refers to breaches of FIT.

451. FCA Final Notice 2014: Investments 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.

452. FCA Final Notice 2013: Kiskidee Limited [pdf]

     Final notices Published: 19/07/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

453. Final Notice 2017: Reuben Cunningham [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.

454. Final notice 2020: Bicycleshack [pdf]

     Final notices Published: 01/06/2020
     This final notice (Bicycleshack) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

455. 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

456. FCA Final Notice 2014: Douglas Carroll trading as City and Chartered Mortgage Services [pdf]

     Final notices Published: 28/08/2014 Last modified: 07/04/2015
     This final notice refers to breaches of TC and SUP 16 related to transaction reporting in the general insurance and protection sector. We imposed a withdrawal.

457. Final Notice 2023: LCUK Finance Ltd [pdf]

     Final notices Published: 03/04/2023
     This final notice refers to a failure to be open and co-operative with the Authority PRIN 11.

458. FCA Final Notice 2013: Christopher Willford [pdf]

     Final notices Published: 12/12/2013 Last modified: 07/04/2015
     This final notice refers to breaches of APER 6 related to failing to act on information appropriately in the retail banks sector. We imposed a fine.

459. FCA Final Notice 2014: Nick Bowyer [pdf]

     Final notices Published: 05/11/2014 Last modified: 07/04/2015
     This final notice refers to breaches of APER 6 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the payment services sector. We imposed a fine and a prohibition.

460. Final Notice 2015: Unitransfer Limited [pdf]

     Final notices Published: 11/08/2015 Last modified: 11/08/2015
     This final notice refers to breaches of PSR, related to payment service regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation.