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P.F.A. Financial Management Limited

Current Status: No longer authorised

Reference Number: 144097

Website: Not Listed

Link to FCA: https://register.fca.org.uk/s/firm?id=001b000000MfFnrAAF


Northside House
69 Tweedy Road
B R 1 3 W A


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A firm with the status "No longer authorised" may have had its authorisation removed for a variety of reasons, such as 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 for more information about a specific firm's authorisation status and the reasons for any changes.

Causes of 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. To ensure compliance, firms must provide their staff with adequate training, implement effective controls, and establish clear policies and procedures.

The UK Financial Services industry has been plagued by financial mis-selling in the past, with various products and services being sold to consumers in an inappropriate or unsuitable manner. Examples include Payment Protection Insurance (PPI), Interest Rate Hedging Products (IRHP), Endowment Mortgages, and Pension Mis-selling. These cases have resulted in significant losses for affected consumers and businesses, with billions of pounds in compensation being paid out. In order to protect consumers and promote fairness, the Financial Conduct Authority (FCA) has taken significant steps to address mis-selling issues, such as enforcement actions, compensation schemes, and the introduction of new regulations. Nevertheless, 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 to claim compensation. The process typically involves contacting the firm that sold the product or service, then escalating the issue to the Financial Ombudsman Service if necessary. In cases where the firm is no longer in business or has been declared in default, consumers can file a claim with the Financial Services Compensation Scheme. It's important to act promptly when seeking compensation, and to consider seeking independent financial or legal advice. Keep in mind that while these steps generally apply, specific processes and eligibility criteria may vary depending on the financial product, service, or circumstances involved.

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