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Showing 21 to 30 of 1270 search results for final notice refers to breaches of s.118.

  1. 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.
  2. Final Notice 2024: William Hofstetter [pdf]

    Final notices Published: 11/03/2024
    This Final Notice (William Hofstetter) refers to a breach of APER Statement of Principle 7 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition. It has been agreed
  3. 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
  4. Final Notice 2023: Mark Anthony Jensen [pdf]

    Final notices Published: 13/11/2023
    This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.
  5. Final Notice 2020: Aviva plc [pdf]

    Final notices Published: 26/10/2020
    This Final Notice (Aviva plc) refers to breaches of Listing Rule 1.3.3R and Transparency Rule 1A.3.2R related to Listing rules/DTR breaches in the General Insurance and Protection sector. We issued a public censure. File updated with accessibility
  6. Final Notice 2022: Hugh Edwards [pdf]

    Final notices Published: 28/04/2022
    This Final Notice (Hugh Edwards) refers to breaches of FIT. We imposed a prohibition.
  7. 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.
  8. Final notice 2016: Cenkos Securities Plc [pdf]

    Final notices Published: 09/08/2016 Last modified: 09/08/2016
    This final notice refers to listing rules breaches in the sponsor sector. We imposed a fine.
  9. Final Notice 2022: Jeanine Lewis [pdf]

    Final notices Published: 28/04/2022
    This Final Notice ( Jeanine Lewis) refers to breaches of FIT. We imposed a prohibition.
  10. Final Notice 2016: Marlborough Isleworth Motors Limited [pdf]

    Final notices Published: 21/11/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative