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Showing 1401 to 1410 of 2125 search results for This final notice refers to breaches.
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Notice of Decision 2023: Starkey Hire Limited [pdf]
This Notice of Decision (Starkey Hire Limited) refers to a failure to carry on regulated activities. We imposed a cancellation. -
Decision Notice 2023: Rose Marie Anderson [pdf]
Notice of Decision: Rose Marie Anderson Conduct: Failing to carry on regulated activities Breaches: N/A -
Notice of Decision 2024: Humberston Motors Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
FCA Decision Notice 2016: Andrew Tinney [pdf]
This decision notice refers to breaches of APER 1 and FIT related to culture/governance, failing to be open and co-operative and a lack of fitness/propriety in the wealth management and private banking sector. Our view is that a public censure and -
Notice of Decision 2023: Brennan Automotive's Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2023: Michael Joseph Bentley [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Decision Notice: Corrado Abbattista [pdf]
This Decision Notice refers to a breach of Article 15 of the Market Abuse Regulation. Our view is that the individual is not fit and proper and therefore a financial penalty and a prohibition should be imposed. -
Decision Notice 2020: Jon Frensham [pdf]
This provisional Decision Notice refers to what the FCA considers to be breaches of FIT by a financial adviser. This Decision Notice has been referred to the Upper Tribunal and will have no effect pending the determination of the case by the Tribunal -
Notice of Decision 2023: Michael Wenman Limited [pdf]
This Notice of Decision (Michael Wenman Limited) refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2023: Abigail Investment Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.