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Showing 1411 to 1420 of 2098 search results for This Final Notice refers to breaches.

  1. First Supervisory Notice 2019: SVS Securities Plc [pdf]

    Supervisory notices Published: 08/08/2019
    This first supervisory notice refers to a failure to satisfy the suitability and appropriate resources threshold conditions (COND) and to breaches of SYSC, PROD and PRIN. We imposed requirements on the firm.

  2. Notice of Decision 2024: Central Garage (Fence) Ltd [pdf]

    Decision notices Published: 23/04/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  3. Notice of Decision 2024: SPS Dental Sales Limited [pdf]

    Decision notices Published: 19/04/2024
    This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation.

  4. Final notice 2015: AR Capital [pdf]

    Final notices Published: 12/11/2015 Last modified: 12/11/2015
    This final notice refers to an applicant for Part 4A permission not satisfying the FCA’s appropriate resources and suitability threshold conditions. We refused the application.

  5. Notice of Decision to Cancel: Murrayfield Management Limited [pdf]

    Cancellation notices Published: 27/09/2016
    This decision notice refers to breaches of money laundering regulations 2007 related to failing to be open and co-operative in the trading firm sector. Our view is that a cancellation should be imposed.

  6. Decision Notice 2022: Barclays Bank 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.

  7. FCA Decision Notice 2016: Alistair Rae Burns [pdf]

    Decision notices Published: 01/12/2016
    This decision notice refers to breaches of APER 7 and FIT related to conflicts of interest, a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. Our view is that a fine, prohibition and withdrawal should be

  8. Notice of Decision 2024: ALTERNATIVE ENERGY SERVICES LTD [pdf]

    Decision notices Published: 05/07/2024
    This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation.

  9. FCA Decision Notice 2013: Timothy Alan Roberts [pdf]

    Decision notices Published: 04/10/2013 Last modified: 04/06/2015
    This decision notice refers to breaches of PRIN 1 and PRIN 6 related to financial promotions and unfair treatment of customers in the investment advisers and platforms sector. Our view is that a fine and a prohibition should be imposed.

  10. Notice of Decision 2024: LOCKE'S CCTV SECURITY LIMITED [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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