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Showing 1301 to 1310 of 2139 search results for final notice refers to breaches.
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Decision Notice 2022: Ghana International Bank plc [pdf]
This Decision Notice (Ghana International Bank plc) refers to breaches of the Money Laundering Regulations 2007 related to financial crime in the Corporate Banks sector. We imposed a financial penalty. -
Decision Notice 2023: David Edward Weller [pdf]
This Decision Notice (David Edward Weller) refers to breach of Conduct Rule 1 (COCON 2.1.1R) related to failing to act with integrity in the private banking sector. Our view is that a financial penalty of £54,000 and prohibition should be imposed. -
Notice of Decision 2023: Tradesneeds [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Final Notice 2021: Ms Sherrie Jean Thackray [pdf]
Final Notice: Ms Sherrie Jean Thackray Conduct: Lack of fitness/propriety Breaches: PSR (Payment Services Regulations) Subject: Individual Outcome: Objection to change in control Sector: Payment Services -
Decision Notice 2023: Edmund Lloyd Rowland [pdf]
This Decision (Edmund Lloyd Rowland) Notice refers to breach of Conduct Rule 1 (COCON 2.1.1R) related to failing to act with integrity in the private banking sector. Our view is that a financial penalty of £352,000 and prohibition should be imposed. -
Notice of Decision 2024: Laurence Bishop [pdf]
The Notice of Decision refers to failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2023: Aabee Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Decision Notice 2023: CJ Kelly Associates [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation -
Decision Notice 2023: Darren Antony Reynolds [pdf]
This Decision Notice (Darren Antony Reynolds) refers to breaches of APER 1 and FIT related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. Our view is that a financial penalty and prohibition should be -
Decision Notice 2024: Demetrios Christos Hadjigeorgiou [pdf]
This Decision Notice (Demetrios Christos Hadjigeorgiou) 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