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Showing 441 to 450 of 4700 search results for final notice refers.
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Final Notice 2023: Andrew John Allen [pdf]
This Final Notice refers to breaches of APER 6 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition and public censure. A payment of £85,606 is being made to the FSCS -
Final Notice 2020: Mark Ireland [pdf]
This final notice refers to a failure to satisfy the Effective Supervision and Suitability Threshold Conditions (COND) in the consumer credit sector. We imposed a cancellation. -
Final Notice 2021: Omar Hussein [pdf]
This Final Notice refers to breaches of APER 1 and 7 related to failing to act with integrity and failing to demonstrate that suitable advice was given in the pensions sector. We imposed a financial penalty, withdrawal and prohibition. -
Final Notice 2017: Stephen Alan Fox [pdf]
This final notice refers to a breach of FIT relating to a lack of fitness/propriety in the general insurance and protection sector. We imposed a prohibition. -
Final Notice 2017: Adrian Whitehurst [pdf]
This final notice refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. Final Notice: Adrian Whitehurst Conduct: Client money/assets; Lack of fitness/propriety -
Final Notice 2018: Ludu Energy 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 2023: Amigo Loans Ltd [pdf]
This Final Notice refers to breaches of Principle 2 (skill, care and diligence), Principle 3 (management and control) and Principle 6 (customers’ interests) related to failure to conduct adequate affordability checks in the Consumer Credit sector. -
Final Notice 2022: Santander UK Plc [pdf]
This Final Notice refers to breaches of PRIN 3 related to the risk of financial crime in the Retail Banking sector. We imposed a financial penalty. -
FCA Final Notice 2013: Kuya J’s Filipino Store Limited [pdf]
This Final Notice refers to breaches of PSR related to failing to be open and co-operative in the -
Final Notice 2020: Carl Brookes [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.