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

Search results

Showing 1441 to 1450 of 2139 search results for Final Notice refers to breaches.

  1. Final notice 2016: Achilles Macris [pdf]

    Final notices Published: 09/02/2016 Last modified: 09/02/2016
    The case concerns breaches of APER 4 related to Mr Macris’ failure to deal with the Authority in an open and cooperative way. We also imposed a financial penalty on Mr Macris.

  2. FCA Decision Notice 2015: Mark John Owen [pdf]

    Decision notices Published: 26/05/2015 Last modified: 26/05/2015
    This decision notice refers to breaches of APER 1, APER 4, FIT related to mis-selling, failing to be open and co-operative, lack of fitness/propriety, failing to act on information appropriately in the Asset Management sector. Our view is that a

  3. Decision Notice 2022: Barclays Bank 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.

  4. Decision Notice: Cathay International Holdings Limited [pdf]

    Decision notices Published: 31/05/2019
    This decision notice (Cathay International Holdings Limited) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. Our view is that a fine should be imposed.

  5. Decision Notice: Robert Ward (Director of BHIM) [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Robert Ward (Director of BHIM) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that a

  6. Notice of Decision to Cancel: Murrayfield Management Limited [pdf]

    Cancellation notices Published: 27/09/2016
    This decision notice refers to breaches of money laundering regulations 2007 related to failing to be open and co-operative in the trading firm sector. Our view is that a cancellation should be imposed.

  7. FCA Decision Notice 2013: Timothy Alan Roberts [pdf]

    Decision notices Published: 04/10/2013 Last modified: 04/06/2015
    This decision 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. Our view is that a fine and a prohibition should be imposed.

  8. Notice of Decision 2024: ALTERNATIVE ENERGY SERVICES LTD [pdf]

    Decision notices Published: 05/07/2024
    This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation.

  9. Final Notice 2020: Neil Bartlett [pdf]

    Final notices Published: 08/04/2020
    This Final Notice (Neil Bartlett) refers to failure to meet the criteria in FIT. We imposed a prohibition.

  10. Notice of Decision 2023: Jacob & Jones Group Ltd (previously known as JACOB & JONES SPECIALIST CARS LTD) [pdf]

    Decision notices Published: 16/10/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.
Related searches