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Showing 371 to 380 of 1125 search results for This final notice refers to breaches of FIT related.
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Final Notice 2016: MailServe Limited [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 2017: Mitchell Barney [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 2023: Lighthouse Advisory Services Limited [pdf]
This Final Notice refers to breaches of Principles 9 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We published a public censure -
Final Notice 2017: Brian Richards [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. -
FCA Final Notice 2014: Philip Eley [pdf]
This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the general insurance and protection sector. We imposed a withdrawal of approval, a fine and a prohibition. -
FCA Final Notice 2013: John Douglas Leslie [pdf]
This final notice refers to breaches of APER 6 related to misselling, lack of fitness/propriety in the investment advisers and platforms sector. We imposed a fine and a prohibition order. -
Final Notice 2015: Eldonian Group Ltd [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
FCA Final Notice 2014: Vasavan Thambhiah [pdf]
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. -
FCA Final Notice 2014: David Welsby [pdf]
This final notice refers to breaches of APER 1 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition. -
FCA Final Notice 2013: Mr Andrew Jeffery [pdf]
This final notice refers to breaches of APER1 and APER4 related to insurance fraud in the general insurance and protection sector. We imposed a fine and a prohibition order.