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Showing 1491 to 1500 of 2139 search results for final notice refers to breaches.

  1. Notice of Decision 2023: Indigo Fleet Management Limited [pdf]

    Decision notices Published: 10/08/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  2. Decision Notice 2021: Markos Theodosi Markou [pdf]

    Decision notices Published: 28/07/2021
    This Decision Notice refers to what the FCA considers to be a breach of Principle 1 of APER. The FCA's view is that the individual acted recklessly, is not fit and proper and therefore a financial penalty and a full prohibition should be imposed.

  3. Final notice 2016: Sunrise Brokers LLP [pdf]

    Final notices Published: 13/06/2016 Last modified: 13/06/2016
    This final notice refers to a candidate for approval to perform controlled functions. The applicant firm and candidate did not provide sufficient information to satisfy us that the candidate met the honesty, integrity and reputation criteria of the

  4. Decision Notice 2019: Standard Chartered Bank [pdf]

    Decision notices Published: 09/04/2019
    This decision notice refers to breaches of the Money Laundering Regulations 2007 related to financial crime in the investment and retail bank sector. We imposed a fine.

  5. Final Notice 2023: Gillian Sweeney [pdf]

    Final notices Published: 08/09/2023
    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.

  6. Decision Notice: Thomas Ward (de facto director of FPL) [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Thomas Ward (de facto director of FPL)) refers to breaches of section 63A FSMA and FIT related to a lack of fitness/propriety in the investment adviser and pensions sector. Our view is that a prohibition and financial penalty

  7. Decision Notice 2018: Darren Lee Newton [pdf]

    Decision notices Published: 21/05/2018
    This decision notice (Darren Lee Newton) refers to breaches of FIT related to client money/assets and a lack of fitness/propriety in the consumer credit sector. Our view is that a prohibition should be imposed.

  8. FCA Decision Notice 2015: B E Insulated Limited [pdf]

    Decision notices Published: 04/09/2015 Last modified: 04/09/2015
    This decision notice refers to breaches of COND and CONC related to failing to be open and co-operative in the Consumer Credit sector. We imposed a refusal.

  9. Notice of Decision 2023: Ozen Financial Services Limited [pdf]

    Decision notices Published: 09/06/2023
    This Notice of Decision (Ozen Financial Services Limited) refers to a failure to carry on regulated activities. We imposed a cancellation.

  10. Notice of Decision 2023: George Donald (Warehouseman) Limited [pdf]

    Decision notices Published: 30/06/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation
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