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Showing 81 to 90 of 1061 search results for Final Notice refers to breaches of TC related.

  1. Final notice 2016: Quick Pay Forex Limited [pdf]

    Final notices Published: 27/05/2016 Last modified: 27/05/2016
    This final notice refers to breaches of PSR related to failing to be open and co-operative and payment services regulations in the payment services sector. We imposed a cancellation.

  2. 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.

  3. Final notice 2016: Naimat Gul [pdf]

    Final notices Published: 22/08/2016
    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.

  4. Final Notice 2023: Geoffrey Edward Armin [pdf]

    Final notices Published: 03/11/2023
    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

  5. Final Notice 2023: Andrew John Deeney [pdf]

    Final notices Published: 28/09/2023
    This Final Notice (Andrew John Deeney) refers to breaches of APER 1 related to the provision of unsuitable defined benefit pension transfer advice in the pensions and investments sector. We imposed a financial penalty and prohibition.

  6. Final Notice 2022: Aiden Henderson [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Aiden Henderson) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. We imposed a prohibition and financial penalty.

  7. 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.

  8. Final Notice 2015: Linda Carole Stuart [pdf]

    Final notices Published: 23/11/2015 Last modified: 23/11/2015
    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

  9. 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.

  10. Final Notice 2022: Stephen John Tomlin [pdf]

    Final notices Published: 06/10/2022
    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
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