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Showing 1351 to 1360 of 2139 search results for final notice refers to breaches.

  1. Notice of Decision 2024: VU Games Limited [pdf]

    Decision notices Published: 01/07/2024
    This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation.

  2. Notice of Decision 2024: Luqel UK Ltd [pdf]

    Decision notices Published: 16/04/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  3. Notice of Decision 2023: Western Euro Limited [pdf]

    Decision notices Published: 16/10/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  4. Decision Notice 2022: David Arden [pdf]

    Decision notices Published: 12/12/2022
    The Decision Notice refers to David Arden being knowingly concerned in the Bank’s breach of Listing Rules (LR 1.3.3R) in the Retail Bank sector. Our view is that a financial penalty be imposed.

  5. Notice of Decision 2023: K L S (UK) LTD [pdf]

    Decision notices Published: 13/10/2023
    The Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.    

  6. Notice of Decision 2024: Lynton Roy Bate [pdf]

    Decision notices Published: 23/04/2024
    The Notice of Decision refers to failure to carry on regulated activities. We imposed a cancellation.  

  7. Notice of Decision 2023: ADS Essex Ltd [pdf]

    Decision notices Published: 14/11/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  8. Decision Notice 2018: Linear Investments Limited [pdf]

    Decision notices Published: 27/09/2018
    This decision notice refers to breaches of PRIN 3 related to market protection and market abuse in the trading firm sector. Our view is that a fine should be imposed. Linear has agreed the facts set out in the Notice, as well as liability for the

  9. Notice of Decision 2023: Carzon International Limited [pdf]

    Decision notices Published: 11/09/2023 Last modified: 12/10/2023
    The FCA publishes a Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. 

  10. Decision Notice 2022: Craig Donaldson [pdf]

    Decision notices Published: 12/12/2022
    The Decision Notice refers to Craig Donaldson being knowingly concerned in the Bank’s breach of Listing Rules (LR 1.3.3R) in the Retail Bank sector. Our view is that a financial penalty be imposed.
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