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Showing 1441 to 1450 of 2098 search results for This Final Notice refers to breaches.
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Notice of Decision 2023: Synergy Energy Solutions Ltd [pdf]
This notice of decision refers to a failure to carry out regulated activities. We imposed a cancellation. -
Final Notice 2020: Neil Bartlett [pdf]
This Final Notice (Neil Bartlett) refers to failure to meet the criteria in FIT. We imposed a prohibition. -
FCA Decision Notice 2013: Clive John Rosier [pdf]
This decision notice refers to breaches of APER 2 and 7 related to unfair treatment of customers in relation to complaints-handling and lack of fitness/propriety in the investment advisors and platforms sector. Our view is that a fine, withdrawal -
Notice of Decision 2023: Beds & Chairs Direct Ltd [pdf]
Conduct: Failing to carry on regulated activities Breaches: N/A Subject: Firm Outcome: Cancellation -
FCA Decision Notice 2013: Andrew Peter Wilkins [pdf]
This decision notice refers to breaches of PRIN 6 related to financial promotions and unfair treatment of customers in the investment advisers and platforms sector. We imposed a fine and partial prohibition. -
FCA Decision Notice 2016: Michael Wilkinson trading as Michael Wilkinson Mortgages [pdf]
This decision notice refers to breaches of PRIN 4, PRIN 11, COND, MIPRU and SUP related to failing to be open and co-operative and threshold conditions in the regulated home finance sector. Our view is that a cancellation should be imposed. -
Decision Notice: Aiden Henderson (Director of HCA) [pdf]
This decision notice (Aiden Henderson (Director of HCA)) 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 -
Notice of Decision 2023: Indigo Fleet Management Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Decision Notice 2019: Standard Chartered Bank [pdf]
This decision notice refers to breaches of the Money Laundering Regulations 2007 related to financial crime in the investment and retail bank sector. We imposed a fine. -
Decision Notice 2021: Markos Theodosi Markou [pdf]
This Decision Notice refers to what the FCA considers to be a breach of Principle 1 of APER. The FCA's view is that the individual acted recklessly, is not fit and proper and therefore a financial penalty and a full prohibition should be imposed.