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Showing 1511 to 1520 of 2139 search results for final notice refers to breaches.
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Final Notice 2022: Frensham Wealth Limited [pdf]
For the reasons given in this Final Notice, and pursuant to section 55J of the Act, the Authority has decided to cancel the Part 4A permission of Frensham Wealth Limited. -
Final Notice 2021: Express Vehicles Limited [pdf]
Final notice to Express Vehicles Limited for failing to be open and co-operative and a lack of appropriate non-financial resources. -
Final notice 2016: JPB Audio Visual Limited [pdf]
The case concerns breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
FCA decision notice 2015: Charles Palmer [pdf]
This decision notice refers to breaches of APER 6 and FIT related to appointed representatives, culture/governance, lack of fitness/propriety and unfair treatment of customers in the investment adviser sector. Our view is that a financial penalty -
Final Notice 2018: Oaklea Autos NI Ltd [pdf]
This final -
Final notice 2015: Threadneedle Asset Management Limited [pdf]
This final notice concerns an asset management sector firm’s breach of PRIN 3 for failing to put in place adequate controls in the fixed income area of its front office and PRIN 11 for providing inaccurate information to the regulator and for -
Final Notice 2018: Khalsa (Bradford) Credit Union Limited [pdf]
This final notice refers to a cancellation of permission pursuant to exercising powers under section 55J of FSMA in the credit union sector. -
Notice of Decision 2023: Ivan John Barker (trading as Goodwin Park) [pdf]
This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation. -
Final Notice 2018: The Hogfather Limited [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. -
Final Notice 2023: UAB Best Finance [pdf]
This final notice refers to a cancellation of a Transitional Authorisation as a result of the withdrawal of authorisation by a home state competent authority. We imposed a cancellation.