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Showing 1401 to 1410 of 2125 search results for This final notice refers to breaches.

  1. Notice of Decision 2023: Starkey Hire Limited [pdf]

    Decision notices Published: 03/10/2023
    This Notice of Decision (Starkey Hire Limited) refers to a failure to carry on regulated activities. We imposed a cancellation.

  2. Decision Notice 2023: Rose Marie Anderson [pdf]

    Decision notices Published: 24/07/2023
    Notice of Decision: Rose Marie Anderson Conduct: Failing to carry on regulated activities Breaches: N/A

  3. Notice of Decision 2024: Humberston Motors Limited [pdf]

    Decision notices Published: 19/03/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  4. FCA Decision Notice 2016: Andrew Tinney [pdf]

    Decision notices Published: 14/09/2016 Last modified: 16/08/2019
    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

  5. Notice of Decision 2023: Brennan Automotive's Ltd [pdf]

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

  6. Notice of Decision 2023: Michael Joseph Bentley [pdf]

    Decision notices Published: 03/08/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  7. Decision Notice: Corrado Abbattista [pdf]

    Decision notices Published: 16/09/2020 Last modified: 16/09/2020
    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.

  8. Decision Notice 2020: Jon Frensham [pdf]

    Decision notices Published: 29/03/2021
    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

  9. Notice of Decision 2023: Michael Wenman Limited [pdf]

    Decision notices Published: 06/09/2023 Last modified: 23/10/2023
    This Notice of Decision (Michael Wenman Limited) refers to a failure to carry on regulated activities. We imposed a cancellation.

  10. Notice of Decision 2023: Abigail Investment Limited [pdf]

    Decision notices Published: 07/09/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.
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