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Showing 1301 to 1310 of 2098 search results for This Final Notice refers to breaches.

  1. Decision Notice 2024: Demetrios Christos Hadjigeorgiou [pdf]

    Decision notices Published: 24/06/2024
    This Decision Notice (Demetrios Christos Hadjigeorgiou) refers to breaches of PRIN 1 and PRIN 6 related to failing to act with integrity and to failing to exercise due care, skill and diligence in the pensions sector. Our view is that a financial

  2. Notice of Decision 2023: Aabee 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.

  3. Decision Notice 2023: CJ Kelly Associates [pdf]

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

  4. Notice of Decision 2023: Puro Financing Limited [pdf]

    Decision notices Published: 10/07/2023
    Conduct: Failing to carry on regulated activities Breaches: N/A Subject: Firm Outcome: Cancellation Section: Consumer Credit

  5. Notice of Decision 2024: James Hill [pdf]

    Decision notices Published: 13/06/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  6. FCA Decision Notice 2013: Bayliss & Co (Financial Services) Limited [pdf]

    Decision notices Published: 23/05/2013 Last modified: 04/06/2015
    This decision notice refers to breaches of TC related to threshold conditions in the investment advisers and platforms sector. Our view is that a withdrawal should be imposed.

  7. Notice of Decision 2024: James Bradshaw [pdf]

    Decision notices Published: 29/04/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  8. Notice of Decision 2024: Craig Aspin [pdf]

    Decision notices Published: 17/04/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. 

  9. Notice of Decision 2024: Richknock Ltd [pdf]

    Decision notices Published: 12/06/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. 

  10. Notice of Decision 2024: David Steevens [pdf]

    Decision notices Published: 11/06/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. 
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