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Showing 121 to 130 of 133 search results for final notice refers to breaches of APER 7 related to unfair.

  1. Final Notice 2017: Bluefin Insurance Services Limited [pdf]

    Final notices Published: 06/12/2017
    This final notice refers to breaches of PRIN 3 and PRIN 7 related to conflicts of interest, culture/governance and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

  2. Final Notice 2019: Standard Life Assurance Limited [pdf]

    Final notices Published: 23/07/2019
    This final notice (Standard Life Assurance Limited) refers to breaches of PRIN 3, PRIN 6 and COBS related to the unfair treatment of customers in the Life Insurance sector. The FCA imposed a financial penalty.

  3. Final Notice 2017: Foreman Financial Services Limited [pdf]

    Final notices Published: 24/10/2017
    This final notice refers to breaches of COND, DISP, PRIN 6 and PRIN 11 related to threshold conditions, unfair treatment of customers and failing to be open and co-operative in the consumer credit and investment adviser sectors. We imposed a

  4. Final Notice 2023: Lighthouse Advisory Services Limited [pdf]

    Final notices Published: 15/05/2023
    This Final Notice refers to breaches of Principles 9 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We published a public censure

  5. Final Notice 2015: Quick Purchase [pdf]

    Final notices Published: 23/10/2015 Last modified: 23/10/2015
    This Final Notice refers to breaches of PRIN 6 and MCOB (Mortgage Conduct of Business Rules) related to unfair treatment of customers in the sale and rent back sector. We imposed a fine and redress.

  6. Final Notice 2018: Liberty Mutual Insurance Europe SE [pdf]

    Final notices Published: 30/10/2018
    This final notice refers to breaches of PRIN 3, PRIN 6, SYSC, ICOBS and DISP related to complaints-handling, culture/governance and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

  7. Final notice 2015: Simon Mark Silva-Peake [pdf]

    Final notices Published: 16/12/2015 Last modified: 16/12/2015
    This final notice refers to breaches of FIT related to a lack of fitness/propriety, client money/assets and unfair treatment of customers in the investment adviser sector. We imposed a prohibition.

  8. Final Notice 2022: Pembrokeshire Mortgage Centre Limited (trading as County Financial Consultants) (in liquidation) [pdf]

    Final notices Published: 02/12/2022
    This Final Notice (Pembrokeshire Mortgage Centre Limited (trading as County Financial Consultants)) refers to breaches of Principles 3, 7 and 9 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We

  9. Final Notice 2015: Lloyds Bank plc, Bank of Scotland plc and Black Horse Limited (together Lloyds Banking Group “LBG”) [pdf]

    Final notices Published: 05/06/2015 Last modified: 05/06/2015
    This final notice refers to breaches of PRIN 6 related to unfair treatment of customers and complaints-handling in the retail bank sector. We imposed a fine.

  10. Final Notice 2023: Amigo Loans Ltd [pdf]

    Final notices Published: 14/02/2023
    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.