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Showing 871 to 880 of 1210 search results for This Final Notice refers to breaches of PRIN 3 related.

  1. Final Notice 2022: Robert Ward [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Robert Ward) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a prohibition and financial

  2. Final Notice 2015: Linda Carole Stuart [pdf]

    Final notices Published: 23/11/2015 Last modified: 23/11/2015
    This final notice refers to numerous breaches of CONC Chapter 8 and SYSC 9.1 related to inability to meet Threshold Condition 2D (appropriate non-financial resources) in the Consumer Credit: Debt Management sector. We imposed a refusal of Part 4A

  3. Final Notice 2023: Richard John Hamilton (Trading as Hamilton Motors and Richard H Hamilton Car Sales) [pdf]

    Final notices Published: 19/05/2023
    This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation

  4. 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.

  5. Final Notice 2023: Geoffrey Edward Armin [pdf]

    Final notices Published: 03/11/2023
    This Final Notice refers to breaches of Statements of Principle 2 and 7 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £200,000 is being made to

  6. 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.

  7. FCA Final Notice 2014: Doditel Limited [pdf]

    Final notices Published: 19/05/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.

  8. Final Notice 2022: Thomas Henry Ward [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Thomas Henry Ward) refers to breaches of section 63A FSMA and FIT related to a lack of fitness/propriety in the investment adviser and pensions sector. We imposed a prohibition and financial penalty.

  9. Final notice 2016: Mark Kelly [pdf]

    Final notices Published: 09/06/2016 Last modified: 09/06/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  10. Final notice 2024: Etemaad Money Transfere Ltd [pdf]

    Final notices Published: 18/04/2024
    This final notice refers to breaches of Payment Services Regulations 2017 related to a failure to meet the conditions of registration. We imposed a cancellation.