Search results

Showing 181 to 190 of 1281 search results for final notice refers to breaches of PSR.

181. 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.

182. Final notice 2016: R Sadler [pdf]

     Final notices Published: 12/05/2016 Last modified: 12/05/2016
     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.

183. FCA Final Notice 2014: Sesame Limited [pdf]

     Final notices Published: 29/10/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 8 and COBS related to conflicts of interest in the life insurance and investment adviser sector. We imposed a fine.

184. FCA Final Notice 2015: Tiuta Plc [pdf]

     Final notices Published: 05/11/2015 Last modified: 05/11/2015
     This Final Notice refers to breaches of PRIN 4, COND, MIPRU and IPRU-INV related to threshold conditions in the investment adviser sector. We imposed a cancellation.

185. 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.

186. Final Notice 2022: Mohammed Ataur Rahman Prodhan [pdf]

     Final notices Published: 18/11/2022
     This final notice refers to a breach of APER 6, and being knowingly concerned in a breach of PRIN 3 in relation to financial crime controls in the retail bank sector. We have imposed a public censure.

187. 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.

188. 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.

189. Final Notice 2024: Arthur Jonathan Cobill [pdf]

     Final notices Published: 11/03/2024
     This Final Notice (Arthur Jonathan Cobill) refers to a breach of APER Statement of Principle 2 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition. It has been

190. Final Notice 2022: Ashkan Zahedian [pdf]

     Final notices Published: 08/11/2022
     This Final Notice (Ashkan Zahedian) refers to a failure to satisfy the Fit and Proper Test (FIT). We imposed a prohibition.