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Showing 1321 to 1330 of 2125 search results for This final notice refers to breaches.
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Notice of Decision 2024: James Bradshaw [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: Craig Aspin [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: Richknock Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: David Steevens [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Decision Notice 2024: David John Alexander Stephen [pdf]
This Decision Notice (David John Alexander Stephen) 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 -
Notice of Decision 2023: Arran Haigh [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: RDP Auto's Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation. -
Notice of Decision 2023: Scott Caseby [pdf]
This Notice of Decision refers to a failure to carry on regulated activities -
Decision Notice 2018: Mohammad Ataur Rahman Prodhan [pdf]
This decision notice refers to an alleged breach of APER 6, and allegedly being knowingly concerned in a breach of PRIN 3 in relation to financial crime controls in the retail bank sector. We have proposed imposing a financial penalty. -
FCA decision notice 2016: Arif Hussein [pdf]
This decision notice refers to breaches of FIT related to a lack of fitness/propriety in the investment bank sector. Our view is that a prohibition should be imposed.