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Showing 1421 to 1430 of 2098 search results for This Final Notice refers to breaches.

  1. FCA Decision Notice 2015: Mark John Owen [pdf]

    Decision notices Published: 26/05/2015 Last modified: 26/05/2015
    This decision notice refers to breaches of APER 1, APER 4, FIT related to mis-selling, failing to be open and co-operative, lack of fitness/propriety, failing to act on information appropriately in the Asset Management sector. Our view is that a

  2. Notice of Decision 2023: Jacob & Jones Group Ltd (previously known as JACOB & JONES SPECIALIST CARS LTD) [pdf]

    Decision notices Published: 16/10/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  3. Final Notice 2024: Hadyn Gamblin [pdf]

    Final notices Published: 01/03/2024
    This final notice 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.

  4. Notice of Decision 2024: SKAY PACKAGING SOLUTIONS LTD (formerly SKAY SOLUTIONS 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.  

  5. Notice of Decision 2024: Eilertsen Dental Care Limited [pdf]

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

  6. Decision Notice: Robert Ward (Director of BHIM) [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Robert Ward (Director of BHIM) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that a

  7. Notice of Decision 2023: Station Road Cars Limited [pdf]

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

  8. Decision Notice: Eric Ka Chi Siu [pdf]

    Decision notices Published: 31/05/2019
    This decision notice (Eric Ka Chi Siu) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. Our view is that a fine should be imposed.

  9. Notice of Decision 2023: LJC Finance & Leasing Limited [pdf]

    Decision notices Published: 24/10/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  10. Notice of Decision 2024: UK Automotive Specialists 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.
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