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Showing 4131 to 4140 of 4722 search results for final notice refers.
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Notice of Decision 2024: STAK (St Austell Community Kitchen) [pdf]
The Notice of Decision refers to failure to carry on regulated activities. We imposed a cancellation. -
Final notice summary: EFG Asset Management [pdf]
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Notice of decision 2023: DQN Global Capital Partners LLP [pdf]
Notice of decision: DQN Global Capital Partners LLP Conduct: Failing to carry out regulated activities -
Final Notice 2020: Conor Martin Foley [pdf]
Final Notice: Conor Martin Foley -
Final Notice 2018: Shaukat Services Limited [pdf]
Threshold conditions, failing to be open and co-operative, appropriate resources, fit & proper, ready willing & organised, effective supervision -
Notice of Decision 2024: Landmark Financial Resources (Mortgages) Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: Autopoint National Vehicle Sales Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Decision Notice 2023: John Charles Roche [pdf]
Headnote sentence: This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
FCA decision notice 2015: Charles Palmer [pdf]
This decision notice refers to breaches of APER 6 and FIT related to appointed representatives, culture/governance, lack of fitness/propriety and unfair treatment of customers in the investment adviser sector. Our view is that a financial penalty -
Financial Penalty Scheme
Find out how the FCA's Financial Penalty Scheme works and how we use retained penalties for the benefit of firms.