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Showing 1471 to 1480 of 2139 search results for final notice refers to breaches.
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Notice of Decision 2024: Bridlington Holiday Park Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Decision Notice 2023: Bangor Tyre Service Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: Sovereign Home Improvements Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Final Notice 2018: Alex Payne [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation. -
Notice of Decision 2023: Synergy Energy Solutions Ltd [pdf]
This notice of decision refers to a failure to carry out regulated activities. We imposed a cancellation. -
Decision Notice: Aiden Henderson (Director of HCA) [pdf]
This decision notice (Aiden Henderson (Director of HCA)) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that -
Notice of Decision 2024: Peterborough Grass Machinery Ltd [pdf]
The Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
FCA Decision Notice 2015: Stewart Owen Ford [pdf]
This decision notice refers to breaches of APER 1, APER 4, FIT related to mis-selling, failing to be open and co-operative, lack of fitness/propriety, conflicts of interests, failing to act on information appropriately in the Asset Management sector. -
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. -
Notice of Decision 2023: Beds & Chairs Direct Ltd [pdf]
Conduct: Failing to carry on regulated activities Breaches: N/A Subject: Firm Outcome: Cancellation