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Showing 531 to 540 of 1068 search results for This final notice refers to breaches of PSR related.

  1. Final Notice 2024: Nicholas Andrew McNeil [pdf]

    Final notices Published: 08/02/2024
    This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  2. Final Notice 2019: William Nelson [pdf]

    Final notices Published: 22/11/2019
    This final notice (William Nelson) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  3. Final notice 2016: Shay Jacob Reches [pdf]

    Final notices Published: 01/02/2016 Last modified: 01/02/2016
    This final notice refers to breaches of section 63A and FIT related to appointed representatives, failing to be open and co-operative, client money, lack of fitness/propriety and unfair treatment of customers in the general insurance and protection

  4. Final notice 2016: Edge Performance 10 Limited [pdf]

    Final notices Published: 13/07/2016 Last modified: 13/07/2016
    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.

  5. Final Notice 2015: Paul Reynolds [pdf]

    Final notices Published: 20/05/2015 Last modified: 20/05/2015
    This final notice refers to breaches of APER 1 and FIT related to mis-selling and failing to be open and co-operative in the investment advisor sector. We imposed a fine and a prohibition.

  6. Final Notice 2017: Michael Wilkinson Mortgages (trading as Michael Wilkinson) [pdf]

    Final notices Published: 02/02/2017
    This final notice refers to breaches of PRIN 4, PRIN 11, SUP, MIPRU and COND related to failing to be open and co-operative and threshold conditions in the general insurance and protection and mortgages sector. We imposed a cancellation.

  7. Final notice 2016: CT Capital Limited [pdf]

    Final notices Published: 01/06/2016 Last modified: 01/06/2016
    This final notice refers to breaches of PRIN 3 and PRIN 6 related to complaints-handling and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

  8. Final Notice 2017: Southwater Cars [pdf]

    Final notices Published: 19/10/2017
    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.

  9. Final Notice 2017: Hessam Ebrahimi [pdf]

    Final notices Published: 18/08/2017
    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.

  10. FCA Final Notice 2014: David Lloyd Wren [pdf]

    Final notices Published: 03/04/2014 Last modified: 07/04/2015
    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.