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Showing 1471 to 1480 of 2098 search results for This Final Notice refers to breaches.

1471. Final Notice 2023: Jason Morrison [pdf]

      Final notices Published: 25/09/2023
      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.

1472. Final Notice 2023: Floenergy Ltd [pdf]

      Final notices Published: 03/05/2023
      This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the credit broking sector. We refused the firm’s application for authorisation.

1473. Final Notice 2023: Gillian Sweeney [pdf]

      Final notices Published: 08/09/2023
      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.

1474. Final Notice 2018: Oaklea Autos NI Ltd [pdf]

      Final notices Published: 06/03/2018
      This final

1475. Decision Notice 2023: John Charles Roche [pdf]

      Decision notices Published: 29/08/2023
      Headnote sentence: This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

1476. Final Notice 2022: Frensham Wealth Limited [pdf]

      Final notices Published: 01/04/2022
      For the reasons given in this Final Notice, and pursuant to section 55J of the Act, the Authority has decided to cancel the Part 4A permission of Frensham Wealth Limited.

1477. Notice of Decision 2023: Ivan John Barker (trading as Goodwin Park) [pdf]

      Decision notices Published: 14/11/2023
      This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation.

1478. Final notice 2015: Threadneedle Asset Management Limited [pdf]

      Final notices Published: 15/12/2015 Last modified: 15/12/2015
      This final notice concerns an asset management sector firm’s breach of PRIN 3 for failing to put in place adequate controls in the fixed income area of its front office and PRIN 11 for providing inaccurate information to the regulator and for

1479. Final Notice 2018: Khalsa (Bradford) Credit Union Limited [pdf]

      Final notices Published: 29/03/2018
      This final notice refers to a cancellation of permission pursuant to exercising powers under section 55J of FSMA in the credit union sector.

1480. Notice of Decision 2024: Landmark Financial Resources (Mortgages) Limited [pdf]

      Decision notices Published: 18/04/2024
      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.