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Showing 931 to 940 of 2125 search results for This final notice refers to breaches.
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Final Notice 2024: Arthur Jonathan Cobill [pdf]
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 -
Final Notice 2022: TFS Loans Ltd (in administration) [pdf]
This Final Notice (TFS Loans Ltd in administration) refers to breaches of the Principle 6 and 3 and CONC related to the unfair treatment of customers acting as guarantors in the consumer credit sector. A financial penalty has been imposed and TFS -
Final Notice 2023: Simon Richard Hughes [pdf]
This Final Notice (Simon Richard Hughes) refers to breaches of APER 2, 6 and 7 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition and withdrawal. A payment of -
Final notice 2016: PDHL Limited [pdf]
This final notice refers to numerous breaches of CONC Chapter 8 related to an inability to meet Threshold Condition 2D (appropriate non-financial resources) and 2E (Suitability) in the Consumer Credit: Debt Management sector. We imposed a refusal of -
Final Notice 2020: Small Batch Coffee Ltd [pdf]
This final notice (Small Batch Coffee Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2022: Thomas Henry Ward [pdf]
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. -
Final Notice 2021: Sapien Capital Limited [pdf]
This Final Notice (Sapien Capital Limited) refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty. -
Final Notice 2024: Paydog Ltd [pdf]
This Final Notice refers to a failure to carry on payment service activities. We imposed a cancellation. -
Final Notice 2022: JLT Specialty Limited [pdf]
This Final Notice (JLT Speciliaty Limited) refers to breaches of PRIN 3 related to anti-bribery and corruption and financial crime in the general insurance and protection sector. We imposed a financial penalty. -
Final Notice 2022: Sigma Broking Limited [pdf]
This Final Notice (Sigma Broking Limited) refers to breaches of SUP 17, SUP 15, PRIN 3 and Article 16 of MAR related to market abuse and transaction reporting failures in the trading firm sector. We imposed a financial penalty.