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Showing 51 to 60 of 2139 search results for final notice refers to breaches.

51. FCA Final Notice 2014: Doditel Limited [pdf]

    Final notices Published: 19/05/2014 Last modified: 07/04/2015
    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.

52. Final notice 2016: BN1 Cars Ltd [pdf]

    Final notices Published: 24/03/2016 Last modified: 24/03/2016
    This final notice refers to breaches of COND and TC, failing to be open and co-operative. We imposed a refusal.

53. Final Notice 2023: Denis Lee Morgan [pdf]

    Final notices Published: 28/06/2023
    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.

54. Final notice 2016: Nasser Yusuf trading as Advance Money Management [pdf]

    Final notices Published: 09/05/2016 Last modified: 09/05/2016
    This final notice refers to breaches of COND related to Threshold conditions in the consumer credit sector. We imposed a refusal.

55. FCA Final Notice 2013: John Douglas Leslie [pdf]

    Final notices Published: 26/07/2013 Last modified: 07/04/2015
    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.

56. FCA Final Notice 2013: Policy Administration Services Limited [pdf]

    Final notices Published: 03/07/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and 6 related to complaints-handling, and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

57. Final Notice 2023: Stratton Leasing Limited [pdf]

    Final notices Published: 15/02/2023
    'The Final Notice refers to breaches of the suitability and appropriate resources Threshold Conditions (COND), and to be open and co-operative with the Authority (Prin 11) in the consumer credit sector. We imposed a cancellation.

58. Final notice 2016: Mark Kelly [pdf]

    Final notices Published: 09/06/2016 Last modified: 09/06/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

59. Final Notice 2019: Andrew Morris Cars Ltd [pdf]

    Final notices Published: 25/07/2019
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in

60. FCA Final Notice 2013: Minona LLP [pdf]

    Final notices Published: 02/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the asset management sector. We imposed a cancellation.