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Showing 171 to 180 of 1281 search results for final notice refers to breaches of PSR.

171. 2024 fines

     News stories Published: 25/03/2024 Last modified: 26/03/2024
     Enforcement fines published in 2024.

172. Final Notice 2021: Anthony George [pdf]

     Final notices Published: 24/09/2021
     This Final Notice (Anthony George) refers to breaches of FIT relating to a lack of fitness/propriety and failing to be open and co-operative in the life insurance and mortgages sector. We imposed a prohibition and a public censure.

173. Final Notice 2023: Christopher Vincent Summers [pdf]

     Final notices Published: 03/10/2023
     This Final Notice (Christopher Vincent Summers) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

174. Final Notice 2022: Barclays Bank plc [pdf]

     Final notices Published: 28/02/2022
     This Final Notice (Barlclays Bank plc) refers to breaches of PRIN 2 related to financial crime in the corporate banking sector. We imposed a financial penalty.

175. 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

176. Final notice 2016: Pacific Continental Securities (UK) Limited (In Liquidation) [pdf]

     Final notices Published: 15/03/2016 Last modified: 17/03/2016
     This final notice refers to breaches of Prin 4, Cond and IPRU-INV related to threshold conditions in the investment advisor sector. We imposed a cancellation.

177. Final Notice 2019: Vale Veterinary Group [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

178. 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.

179. Final Notice 2019: Wedgwood Vehicle Solutions Limited [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

180. 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.