Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 1371 to 1380 of 2139 search results for Final Notice refers to breaches.

  1. Notice of Decision 2023: DNS Claims Ltd [pdf]

    Decision notices Published: 04/08/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  2. Notice of Decision 2024: Reakt Media Limited [pdf]

    Decision notices Published: 16/04/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. 

  3. Notice of Decision 2023: MKL Finance Ltd [pdf]

    Decision notices Published: 08/11/2023
    This Notice of Decision (MKL Finance Ltd) refers to a failure to carry on regulated activities. We imposed a cancellation.

  4. Notice of Decision 2024: Ayaan Motors Limited [pdf]

    Decision notices Published: 09/05/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. 

  5. FCA further decision notice 2016: Tariq Carrimjee [pdf]

    Decision notices Published: 05/02/2016 Last modified: 23/02/2016
    This further decision notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. Our view is that a prohibition should be imposed.

  6. Decision Notice 2022: David Amporful [pdf]

    Decision notices Published: 20/01/2023
    This notice of decision to cancel refers to breaches of The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 related to failing to be open and co-operative in the trading firm sector. We imposed

  7. Notice of Decision to Cancel 2023: Trenton Law Limited [pdf]

    Decision notices Published: 28/11/2023
    “This decision notice refers to breaches of The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 related to payment of charges owed to the FCA. We imposed a cancellation.”.

  8. Final Notice 2015: Phillip Harold Boakes [pdf]

    Final notices Published: 24/11/2015 Last modified: 24/11/2015
    The case concerns breaches of FIT related to a lack of fitness/propriety in the investment adviser sector . We imposed a prohibition.

  9. Decision Notice 2022: Barclays plc [pdf]

    Decision notices Published: 21/10/2022
    This Decision Notice refers to breaches of listing rules relating to failure to disclose information in the issuer sector. We imposed a financial penalty.

  10. Notice of Decision 2024: Atech Automotive Ltd [pdf]

    Decision notices Published: 20/03/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.
Related searches