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Alexander Sloan Financial Planning Limited

Current Status: No longer authorised

Reference Number: 190674

Website: Not Listed

Link to FCA: https://register.fca.org.uk/s/firm?id=001b000000MfHn9AAF


180 St. Vincent Street
G2 5SG
G 2 5 S G


0/5 (0 Reviews)

A firm with the status "No longer authorised" may have had its authorisation removed due to voluntary cancellation, failure to meet regulatory requirements, non-compliance with rules and regulations, enforcement action, failure to pay fees, or inactivity. It is important to check the FCA register or contact the FCA directly to find out more information about the specific firm's authorisation status and the reasons why its authorisation may have been revoked.

Reasons for non-compliance can include inadequate systems and controls, poor governance, insufficient staff training, misleading or inaccurate disclosures, conflicts of interest, breaches of conduct rules, inadequate client protections, financial crime, data protection breaches, and inadequate capital or liquidity. Effective controls must be put in place to identify, manage, and mitigate any risk of non-compliance.

The UK financial services industry has been plagued by cases of financial mis-selling in the past, such as Payment Protection Insurance (PPI), Interest Rate Hedging Products (IRHP), endowment mortgages, and pension mis-selling. As a result, the Financial Conduct Authority (FCA) has taken a number of measures to protect consumers from mis-selling and promote fair treatment, such as enforcing regulations, providing compensation, and introducing new disclosure and transparency standards. Despite these efforts, the risk of mis-selling remains an ongoing issue that requires vigilance from both regulators and the industry.

Consumers who have been mis-sold financial products or services in the UK may be eligible for compensation and should follow the steps outlined to pursue a claim. The process typically involves contacting the firm responsible for the mis-selling and filing a formal complaint, followed by escalating the issue to the Financial Ombudsman Service if required. If the firm has gone out of business or been declared in default, a claim can be made to the Financial Services Compensation Scheme. It is important to act promptly, as there may be time limits for submitting claims, and to seek independent financial or legal advice if necessary.

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