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Showing 1311 to 1320 of 2098 search results for This Final Notice refers to breaches.

  1. Decision Notice 2024: David John Alexander Stephen [pdf]

    Decision notices Published: 24/06/2024
    This Decision Notice (David John Alexander Stephen) 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: Arran Haigh [pdf]

    Decision notices Published: 19/07/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  3. Notice of Decision 2023: Scott Caseby [pdf]

    Decision notices Published: 03/07/2023
    This Notice of Decision refers to a failure to carry on regulated activities

  4. Decision Notice 2018: Mohammad Ataur Rahman Prodhan [pdf]

    Decision notices Published: 04/12/2018
    This decision notice refers to an alleged breach of APER 6, and allegedly being knowingly concerned in a breach of PRIN 3 in relation to financial crime controls in the retail bank sector. We have proposed imposing a financial penalty.

  5. FCA decision notice 2016: Arif Hussein [pdf]

    Decision notices Published: 14/04/2016 Last modified: 14/04/2016
    This decision notice refers to breaches of FIT related to a lack of fitness/propriety in the investment bank sector. Our view is that a prohibition should be imposed.

  6. Notice of Decision 2023: Waris Afzal [pdf]

    Decision notices Published: 03/08/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  7. Notice of Decision 2023: Malcolm Lockyer [pdf]

    Decision notices Published: 20/10/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  8. Notice of Decision 2024: Baber Khan trading as The Dental Healthcare Centre and Cleveland Cosmetic and Dental Implant Clinic [pdf]

    Decision notices Published: 15/04/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  9. Notice of Decision 2023: Shuaib Hussain [pdf]

    Decision notices Published: 31/10/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  10. Final Notice 2023: Statum Limited [pdf]

    Final notices Published: 07/08/2023
    This Final Notices 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.
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