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Showing 171 to 180 of 1068 search results for This final notice refers to breaches of PSR related.
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Final Notice 2022: Robert Ward [pdf]
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 -
Final Notice 2015: Linda Carole Stuart [pdf]
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 -
Final Notice 2023: Denis Lee Morgan [pdf]
This Final Notice refers to breaches of FIT related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a prohibition and withdrawal of approvals. -
Final notice 2016: R Sadler [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 2015: Tiuta Plc [pdf]
This Final Notice refers to breaches of PRIN 4, COND, MIPRU and IPRU-INV related to threshold conditions in the investment adviser sector. We imposed a cancellation. -
Final Notice 2023: Geoffrey Edward Armin [pdf]
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 -
FCA Final Notice 2014: Sesame Limited [pdf]
This final notice refers to breaches of PRIN 8 and COBS related to conflicts of interest in the life insurance and investment adviser sector. We imposed a fine. -
Final notice 2016: Naimat Gul [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 2022: Stephen John Tomlin [pdf]
This Final Notice (Stephen John Tomlin) refers to breaches of APER 7 and APER 6 related to the failure to ensure compliance oversight and compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article -
Final notice 2016: Pacific Continental Securities (UK) Limited (In Liquidation) [pdf]
This final notice refers to breaches of Prin 4, Cond and IPRU-INV related to threshold conditions in the investment advisor sector. We imposed a cancellation.