Publications

Showing 1871 to 1880 of 3616 search results.

1871. FCA Final Notice 2013: Porta Verde Financial Services Limited [pdf]

      Final notices

      Published: 24/10/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to appointed representatives, and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

1872. FCA Final Notice 2013: Daniel Norris [pdf]

      Final notices

      Published: 23/10/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection. We imposed a cancellation.

1873. FCA Final Notice 2013: Mustafa Dervish [pdf]

      Final notices

      Published: 18/10/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of APER 1 and 7 related to mis-selling, lack of fitness and propriety, and conflicts of interest in the investment advisors and platforms sector. We imposed a prohibition, withdrawal and a fine .

1874. FCA Final Notice 2013: Mark Bentley-Leek [pdf]

      Final notices

      Published: 18/10/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of APER 1 and 7 related to mis-selling, lack of fitness and propriety, and conflicts of interest in the investment advisors and platforms sector. We imposed a prohibition, withdrawal and a fine .

1875. FCA Final Notice 2013: Bentley-Leek Financial Management Limited [pdf]

      Final notices

      Published: 18/10/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of TC related to threshold conditions in the investment advisers and platforms sector. We imposed a withdrawal.

1876. FCA Final Notice 2013: Alison Moran [pdf]

      Final notices

      Published: 04/10/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 6 related to financial promotions and unfair treatment of customers in the investment advisers and platforms sector. We imposed a penalty.

1877. FCA Final Notice 2013: Catalyst Investment Group Limited [pdf]

      Final notices

      Published: 04/10/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 1 and PRIN 6 related to financial promotions and unfair treatment of customers in the investment advisers and platforms sector. We imposed a public censure.

1878. FCA Final Notice 2013: Quakle Limited [pdf]

      Final notices

      Published: 03/10/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.

1879. FCA Final Notice 2013: Nasir Sarwar [pdf]

      Final notices

      Published: 03/10/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.

1880. FCA Final Notice 2013: Ali Parvez Shaikh [pdf]

      Final notices

      Published: 01/10/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.