Publications

Showing 2841 to 2850 of 18806 search results.

2841. Notice of Decision 2024: David Batchelor [pdf]

      Decision notices

      Published: 17/12/2024

      The Notice of Decision refers to failure to carry on regulated activities. We imposed a cancellation.

2842. Final Notice 2024: John Cotton [pdf]

      Final notices

      Published: 17/12/2024

      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 advisers and intermediaries’ sector. We imposed a cancellation. 

2843. CP24/29: Private Intermittent Securities and Capital Exchange System: Sandbox Arrangements [pdf]

      Consultation papers

      Published: 17/12/2024

      We are consulting on the regulatory framework for the Private Intermittent Securities and Capital Exchange System (PISCES)

2844. Notice of Decision 2024: Manns Amusements Ltd [pdf]

      Decision notices

      Published: 17/12/2024

      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

2845. Notice of Decision 2024: PERFORMANCE AND PRESTIGE LIMITED [pdf]

      Decision notices

      Published: 17/12/2024

      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

2846. Notice of Decision 2024: David Smith & Linda Smith [pdf]

      Decision notices

      Published: 17/12/2024

      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

2847. Notice of Decision 2024: M Judge [pdf]

      Decision notices

      Published: 16/12/2024

      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

2848. Notice of Decision 2024: Richard Fenech [pdf]

      Decision notices

      Published: 16/12/2024

      This decision Notice refers to a breach of APER statement of Principles 1 and 7 relating to a lack of integrity and failing to organise and control a firm’s affairs responsibly and effectively in the pensions sector. Our view is that a prohibition

2849. Notice of Decision 2024: Heather Dunne [pdf]

      Decision notices

      Published: 16/12/2024

      This decision notice refers to a breach of APER Statement of Principle 1 and 2 relating to failing to act with integrity and failing to act with due skill, care and diligence in the pensions sector. Our view is that a prohibition and a financial

2850. Notice of Decision 2024: Norman Daniel [pdf]

      Decision notices

      Published: 16/12/2024

      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation