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Showing 1411 to 1420 of 2139 search results for Final Notice refers to breaches.

  1. Notice of Decision 2023: Michael Wenman Limited [pdf]

    Decision notices Published: 06/09/2023 Last modified: 23/10/2023
    This Notice of Decision (Michael Wenman Limited) refers to a failure to carry on regulated activities. We imposed a cancellation.

  2. Decision Notice 2021: BlueCrest Capital Management (UK) LLP [pdf]

    Decision notices Published: 22/12/2021
    This decision notice (BlueCrest Capital Management (UK) LLP) refers to breaches of Principle 8 related to conflicts of interest in the asset management sector. Our view is that a financial penalty should be imposed.

  3. Notice of Decision 2023: James Anthony Donaldson (trading as Castle Credit Company) [pdf]

    Decision notices Published: 12/09/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  4. Notice of Decision to Cancel 2024: Glass Legal Limited [pdf]

    Decision notices Published: 19/02/2024
    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.

  5. Notice of Decision 2023: Abigail Investment Limited [pdf]

    Decision notices Published: 07/09/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  6. Decision Notice: Corrado Abbattista [pdf]

    Decision notices Published: 16/09/2020 Last modified: 16/09/2020
    This Decision Notice refers to a breach of Article 15 of the Market Abuse Regulation. Our view is that the individual is not fit and proper and therefore a financial penalty and a prohibition should be imposed.

  7. Notice of Decision 2023: Insure 24/7 Limited [pdf]

    Decision notices Published: 23/08/2023
    This Notice of Decision (Insure 24/7 Limited) refers to a failure to carry on regulated activities. We imposed a cancellation.

  8. Notice of Decision to Cancel 2024: Maguire Card Limited [pdf]

    Decision notices Published: 16/02/2024
    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.

  9. Final Notice 2018: Uvenco Limited [pdf]

    Final notices Published: 25/06/2018
    This final notice

  10. Decision Notice 2023: David Brian Price [pdf]

    Decision notices Published: 01/09/2023
    This Decision Notice refers to breaches of APER 1 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. Our view is that a financial penalty, prohibition and withdrawal should be imposed
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