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Showing 1421 to 1430 of 2125 search results for This final notice refers to breaches.
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Notice of Decision 2023: Guyon Capital Management Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Decision Notice 2023: David Brian Price [pdf]
This Decision Notice refers to breaches of APER 1 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. Our view is that a financial penalty, prohibition and withdrawal should be imposed -
Notice of Decision 2024: LS & VS Johal - On 27 June 2024, an annulment application was accepted by the Authority and the firm’s authorisation was restored [pdf]
This Notice of Decision (LS & VS Johal) refers to a failure to carry on regulated activities. We imposed a cancellation. However, on 27 June 2024, an annulment application was accepted by the Authority and the firm’s authorisation was restored -
Notice of Decision 2023: 1st Green Deal Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Decision Notice 2017: Church Hill Finance (Anthony Badaloo trading as) [pdf]
This decision notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the investment adviser sector. Our view is that a cancellation should be imposed. -
Notice of Decision 2024: JDS MOTORS (SCOTLAND) LTD [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: City Auto Wholesale Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2023: SMG Performance Cars Limited (SMG) [pdf]
This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation. -
Notice of Decision 2024: Shire Car Sales (Worcestershire) Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
First Supervisory Notice 2019: SVS Securities Plc [pdf]
This first supervisory notice refers to a failure to satisfy the suitability and appropriate resources threshold conditions (COND) and to breaches of SYSC, PROD and PRIN. We imposed requirements on the firm.