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Showing 2631 to 2640 of 3282 search results for This Final Notice refers.

  1. Notice of Decision 2024: Alternative Funding Centre Limited [pdf]

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

  2. Notice of Decision 2023: Bloomfields Horseboxes South Ltd [pdf]

    Decision notices Published: 07/12/2023
    This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation

  3. Notice of Decision 2023: Tusk Capital Management Limited [pdf]

    Decision notices Published: 29/09/2023
    This Notice of Decision (Tusk Capital Management Limited) refers to a failure to carry on regulated activities. We imposed a cancellation.

  4. Notice of Decision 2024: Greenbank Caravans & Trailers Limited [pdf]

    Decision notices Published: 10/05/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. 

  5. Decision Notice 2021: Markos Theodosi Markou [pdf]

    Decision notices Published: 28/07/2021
    This Decision Notice refers to what the FCA considers to be a breach of Principle 1 of APER. The FCA's view is that the individual acted recklessly, is not fit and proper and therefore a financial penalty and a full prohibition should be imposed.

  6. Statement on Achilles Macris

    Statements Published: 11/04/2014 Last modified: 11/04/2014
    certain matters set out in the final notice issued to JPMorgan Chase Bank N.A (JP Morgan) on 19 September 2013 which related to the ‘London Whale’ trades. ... No. What can we do to improve pages like this? What did you find helpful?

  7. Notice of Decision 2024: JC Car Sales Scotland Ltd [pdf]

    Decision notices Published: 05/03/2024
    “This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation”.

  8. Notice of Decision 2023: Indigo Fleet Management Limited [pdf]

    Decision notices Published: 10/08/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  9. Final notice 2015: Threadneedle Asset Management Limited [pdf]

    Final notices Published: 15/12/2015 Last modified: 15/12/2015
    This final notice concerns an asset management sector firm’s breach of PRIN 3 for failing to put in place adequate controls in the fixed income area of its front office and PRIN 11 for providing inaccurate information to the regulator and for

  10. Notice of Decision 2023: Lakeland Leisure Estates Limited [pdf]

    Decision notices Published: 05/12/2023
    This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation.
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