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Showing 1371 to 1380 of 2139 search results for final notice refers to breaches.
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Notice of Decision 2023: DNS Claims Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: Reakt Media Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2023: MKL Finance Ltd [pdf]
This Notice of Decision (MKL Finance Ltd) refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: Ayaan Motors Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
FCA further decision notice 2016: Tariq Carrimjee [pdf]
This further decision notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. Our view is that a prohibition should be imposed. -
Decision Notice 2022: David Amporful [pdf]
This notice of decision to cancel refers to breaches of The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 related to failing to be open and co-operative in the trading firm sector. We imposed -
Notice of Decision to Cancel 2023: Trenton Law Limited [pdf]
“This decision notice refers to breaches of The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 related to payment of charges owed to the FCA. We imposed a cancellation.”. -
Final Notice 2015: Phillip Harold Boakes [pdf]
The case concerns breaches of FIT related to a lack of fitness/propriety in the investment adviser sector . We imposed a prohibition. -
Decision Notice 2022: Barclays plc [pdf]
This Decision Notice refers to breaches of listing rules relating to failure to disclose information in the issuer sector. We imposed a financial penalty. -
Notice of Decision 2024: Atech Automotive Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.