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Showing 261 to 270 of 1125 search results for This final notice refers to breaches of FIT related.
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Final notice 2016: Lester Evans [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and cooperative and threshold conditions in the general insurance and protection sector. We imposed a cancellation. -
FCA Final Notice 2013: Policy Administration Services Limited [pdf]
This final notice refers to breaches of PRIN 3 and 6 related to complaints-handling, and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine. -
Final Notice 2017: Ian Foden [pdf]
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. -
Final Notice 2015: Michael Banks [pdf]
This final notice refers to breaches of TC related to threshold conditions in the consumer credit sector. We imposed a refusal. -
FCA Final Notice 2014: Ewan King [pdf]
This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition. -
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 2017: Parm Milap [pdf]
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. -
FCA Final Notice 2014: UBS AG [pdf]
This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine. -
FCA Final Notice 2013: Ahmed Ali [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
FCA Final Notice 2014: Andrew Barlas [pdf]
This final notice refers to breaches of PRIN 1 related to mortgage fraud in the mortgages sector. We imposed a public censure.