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Showing 141 to 150 of 1280 search results for final notice refers to breaches of PSR.

141. Final Notice 2022: Charanjit Sandhu [pdf]

     Final notices Published: 28/04/2022
     This Final Notice (Charanjit Sandhu) refers to breaches of FIT. We imposed a prohibition.

142. Final Notice 2019: Prindiville Plc [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

143. Final Notice 2020: Nicholas Anderton [pdf]

     Final notices Published: 21/05/2020
     This final notice (Nicholas Anderton) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

144. Final Notice 2023: David Nigel Lewis [pdf]

     Final notices Published: 27/11/2023
     This Final Notice refers to breaches of Principles for Business 6 and 7 related to the provision of unsuitable pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £26,800 is being made to the FSCS.

145. Final Notice 2023: Equifax Limited [pdf]

     Final notices Published: 13/10/2023
     This Final Notice relates to the outsourcing of data processing to an intragroup entity which experienced a data breach. The Final Notice refers to risk management failings (Principle 3) and failings in relation to treating customers fairly and

146. Final Notice 2023: NMC Health Plc (in Administration) [pdf]

     Final notices Published: 17/11/2023
     This Final Notice refers to breaches of Article 15 EU MAR related to disseminating false and misleading information regarding NMC’s debt positions. We publish a public censure.

147. Final Notice 2015: Neil Moir trading as ‘Readymoney’ [pdf]

     Final notices Published: 26/08/2015 Last modified: 26/08/2015
     This final notice refers to breaches of COND and PRIN 11 related to threshold conditions, failing to be open and co-operative and lack of fitness/propriety in the consumer credit sector. We imposed a refusal.

148. Final Notice 2015: Leadgen (UK) Limited [pdf]

     Final notices Published: 26/01/2015 Last modified: 26/01/2015
     This final notice refers to breaches of Principle 11 related to threshold conditions breaches in the consumer credit sector. We imposed a cancellation.

149. FCA Final Notice 2014: Deutsche Bank AG (“Deutsche”) [pdf]

     Final notices Published: 28/08/2014 Last modified: 07/04/2015
     This final notice refers to breaches of SUP 17 related to transaction reporting in the investment bank sector. We imposed a fine.

150. Final Notice 2020: Simon Charles Oakley [pdf]

     Final notices Published: 21/09/2020 Last modified: 21/09/2020
     This Final Notice (Simon Charles Oakley) refers to breaches of FIT by a financial adviser. We imposed a prohibition.”