Search results
Showing 651 to 660 of 1068 search results for This final notice refers to breaches of PSR related.
-
Final notice 2015: Carbon Reduction Group Limited [pdf]
This final notice refers to breaches of COND and CONC related to threshold conditions in the consumer credit sector. We imposed a refusal. -
Final Notice 2017: 21st Telecoms 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 2016: Amir Khan [pdf]
This final notice refers to breaches of APER 1 and APER 6 related to mortgage fraud in the mortgages sector. We imposed a prohibition and public censure. -
Final Notice 2023: Mark Antony Abley [pdf]
This Final Notice refers to breaches of APER 2 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a financial penalty and a partial prohibition. -
FCA Final Notice 2013: Nicholas Welsh & Co Limited [pdf]
This Final Notice refers to breaches of TC related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation. -
FCA Final Notice 2013: Andrew Joseph Powell [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the wealth management and private banking, investment advisers and platforms sector. We imposed a prohibition. -
Final notice 2016: Danmirr Capital 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 refusal of the firm's application to carry on the regulated activities of credit broking, deb adjusting and -
Final Notice 2017: David Stanley Mather [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the investment adviser, mortgages and general insurance and protection sector. We imposed a cancellation. -
Final Notice 2015: Ralph Whittington [pdf]
This final notice refers to breaches of APER 1 and FIT related to lack of fitness/propriety, client money/assets and insurance fraud in the general insurance and protection sector. We imposed a fine, prohibition, and withdrawal. -
Final Notice 2019: Alison Mary Mills [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety. We imposed a prohibition.