Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 1351 to 1360 of 2098 search results for This Final Notice refers to breaches.

  1. Notice of Decision 2023: Peel Cars Ltd [pdf]

    Decision notices Published: 25/07/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  2. Notice of Decision 2024: John Scobie Biggar [pdf]

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

  3. Decision Notice 2021: BlueCrest Capital Management (UK) LLP [pdf]

    Decision notices Published: 22/12/2021
    This decision notice (BlueCrest Capital Management (UK) LLP) refers to breaches of Principle 8 related to conflicts of interest in the asset management sector. Our view is that a financial penalty should be imposed.

  4. FCA further decision notice 2016: Tariq Carrimjee [pdf]

    Decision notices Published: 05/02/2016 Last modified: 23/02/2016
    This further decision notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. Our view is that a prohibition should be imposed.

  5. Notice of Decision 2023: DNS Claims Ltd [pdf]

    Decision notices Published: 04/08/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  6. Notice of Decision 2024: Reakt Media Limited [pdf]

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

  7. Notice of Decision 2023: MKL Finance Ltd [pdf]

    Decision notices Published: 08/11/2023
    This Notice of Decision (MKL Finance Ltd) refers to a failure to carry on regulated activities. We imposed a cancellation.

  8. Notice of Decision 2024: Ayaan Motors Limited [pdf]

    Decision notices Published: 09/05/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. 

  9. FCA Decision Notice 2014: Standard Bank PLC [pdf]

    Decision notices Published: 23/01/2014 Last modified: 04/06/2015
    This decision notice refers to breaches of Money Laundering Regulations 2007 related to financial crime in the investment banking sector. We imposed a fine.

  10. Decision Notice 2022: Barclays plc [pdf]

    Decision notices Published: 21/10/2022
    This Decision Notice refers to breaches of listing rules relating to failure to disclose information in the issuer sector. We imposed a financial penalty.
Related searches