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Showing 1331 to 1340 of 2098 search results for This Final Notice refers to breaches.
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Notice of Decision 2024: Hamblyn Cars Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Decicion Notice 2020: Finelease – Leasing European SA [pdf]
This decision notice (Finelease – Leasing European SA) refers to breaches of The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 related to failing to be open and co-operative in the trading -
Decision Notice 2018: Linear Investments Limited [pdf]
This decision notice refers to breaches of PRIN 3 related to market protection and market abuse in the trading firm sector. Our view is that a fine should be imposed. Linear has agreed the facts set out in the Notice, as well as liability for the -
Notice of Decision 2024: Ftech Engineering Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation. -
Decision Notice 2023: Toni Fox [pdf]
This Decision Notice refers to breaches of APER 1 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. Our view is that a financial penalty, prohibition and withdrawal should be imposed. -
Notice of Decision 2023: DD Automotive Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: Regional Legal Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision to Cancel 2024: Found Estates [pdf]
This decision notice refers to breaches of The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 related to payment of charges owed to the FCA. We imposed a cancellation. -
Decision Notice 2023: James Edward Staley [pdf]
This Decision Notice refers to breaches of the Senior Management Conduct Rules and Individual Conduct Rules relating to integrity and the disclosure of information to and relations with regulators. We have issued a Decision Notice seeking to impose -
Notice of Decision 2024: VU Games Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation.