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Showing 1471 to 1480 of 2139 search results for Final Notice refers to breaches.

  1. Notice of Decision 2024: Bridlington Holiday Park Limited [pdf]

    Decision notices Published: 06/06/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. 

  2. Decision Notice 2023: Bangor Tyre Service Limited [pdf]

    Decision notices Published: 27/06/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  3. Notice of Decision 2024: Sovereign Home Improvements Limited [pdf]

    Decision notices Published: 22/03/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  4. Final Notice 2018: Alex Payne [pdf]

    Final notices Published: 16/08/2018
    This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.

  5. Notice of Decision 2023: Synergy Energy Solutions Ltd [pdf]

    Decision notices Published: 22/08/2023
    This notice of decision refers to a failure to carry out regulated activities. We imposed a cancellation.

  6. Decision Notice: Aiden Henderson (Director of HCA) [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Aiden Henderson (Director of HCA)) 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

  7. Notice of Decision 2024: Peterborough Grass Machinery Ltd [pdf]

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

  8. FCA Decision Notice 2015: Stewart Owen Ford [pdf]

    Decision notices Published: 26/05/2015 Last modified: 27/05/2015
    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, conflicts of interests, failing to act on information appropriately in the Asset Management sector.

  9. First Supervisory Notice 2019: SVS Securities Plc [pdf]

    Supervisory notices Published: 08/08/2019
    This first supervisory notice refers to a failure to satisfy the suitability and appropriate resources threshold conditions (COND) and to breaches of SYSC, PROD and PRIN. We imposed requirements on the firm.

  10. Notice of Decision 2023: Beds & Chairs Direct Ltd [pdf]

    Decision notices Published: 20/09/2023
    Conduct: Failing to carry on regulated activities   Breaches: N/A  Subject: Firm  Outcome: Cancellation 
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