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Showing 1451 to 1460 of 2098 search results for This Final Notice refers to breaches.
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Final Notice 2024: RCWatches Ltd [pdf]
This final notice refers to a cancellation pursuant to powers under section 55J of FSMA in the consumer credit sector. -
FCA Decision Notice 2015: Stewart Owen Ford [pdf]
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, conflicts of interests, failing to act on information appropriately in the Asset Management sector. -
FCA Decision Notice 2015: B E Insulated Limited [pdf]
This decision notice refers to breaches of COND and CONC related to failing to be open and co-operative in the Consumer Credit sector. We imposed a refusal. -
Final notice 2020: Pixma Group Ltd [pdf]
This final notice (Pixma Group Ltd) refes to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final notice 2016: Veena Bhandari [pdf]
This final notice refers to a candidate for approval to perform controlled functions. The candidate did not satisfy us that they met the competence & capability criteria of the FCA’s Fit and Proper Person Test. We refused the application. -
FCA Decision Notice 2015: Peter Francis Johnson [pdf]
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 -
Final Notice 2024: Keyvolute Limited t/a Payshot Limited [pdf]
This Final Notice refers to a failure to carry on payment service activities. We imposed a cancellation. -
Final Notice 2018: Zoe Croft [pdf]
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. -
Notice of Decision 2023: George Donald (Warehouseman) Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation -
Notice of Decision 2023: Ozen Financial Services Limited [pdf]
This Notice of Decision (Ozen Financial Services Limited) refers to a failure to carry on regulated activities. We imposed a cancellation.