Search results

Showing 1311 to 1320 of 2125 search results for This final notice refers to breaches.

1311. Notice of Decision 2023: Tradesneeds [pdf]

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

1312. Decision Notice 2023: Darren Antony Reynolds [pdf]

      Decision notices Published: 28/09/2023
      This Decision Notice (Darren Antony Reynolds) refers to breaches of APER 1 and FIT related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. Our view is that a financial penalty and prohibition should be

1313. Decision Notice 2024: Demetrios Christos Hadjigeorgiou [pdf]

      Decision notices Published: 24/06/2024
      This Decision Notice (Demetrios Christos Hadjigeorgiou) refers to breaches of PRIN 1 and PRIN 6 related to failing to act with integrity and to failing to exercise due care, skill and diligence in the pensions sector. Our view is that a financial

1314. Notice of Decision 2023: Aabee Limited [pdf]

      Decision notices Published: 10/08/2023
      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

1315. Decision Notice 2023: CJ Kelly Associates [pdf]

      Decision notices Published: 12/07/2023
      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation

1316. Notice of Decision 2024: Mark Thompson trading as MWT Cars [pdf]

      Decision notices Published: 14/08/2024
      This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation

1317. Notice of Decision 2023: Puro Financing Limited [pdf]

      Decision notices Published: 10/07/2023
      Conduct: Failing to carry on regulated activities Breaches: N/A Subject: Firm Outcome: Cancellation Section: Consumer Credit

1318. Notice of Decision 2024: James Hill [pdf]

      Decision notices Published: 13/06/2024
      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

1319. FCA Decision Notice 2013: Bayliss & Co (Financial Services) Limited [pdf]

      Decision notices Published: 23/05/2013 Last modified: 04/06/2015
      This decision notice refers to breaches of TC related to threshold conditions in the investment advisers and platforms sector. Our view is that a withdrawal should be imposed.

1320. Notice of Decision 2024: THE AUTO DR LTD [pdf]

      Decision notices Published: 13/08/2024
      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.