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Showing 2711 to 2720 of 4347 search results for FSA Final Notice.
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Final Notice 2022: Charanjit Sandhu [pdf]
This Final Notice (Charanjit Sandhu) refers to breaches of FIT. We imposed a prohibition. -
FCA Final Notice 2014: Anthony Verrier [pdf]
This final notice refers to breaches of FIT related to lack of fitness and propritey in the trading firms sector. We imposed a prohibition. -
FCA Final Notice 2014: Ian Charles Hannam [pdf]
This final notice refers to breaches of MAR related to market abuse in the investment banks sector. We imposed a fine. -
Final Notice 2018: MTS Automotive (Manchester to Southampton LTD) [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2020: Leigh Osborne (trading as Snap-on, Snap-on Diagnostics, Snap-on Tools) [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 2022: Sigma Broking Limited [pdf]
This Final Notice (Sigma Broking Limited) refers to breaches of SUP 17, SUP 15, PRIN 3 and Article 16 of MAR related to market abuse and transaction reporting failures in the trading firm sector. We imposed a financial penalty. -
Final Notice: Steven Smith [pdf]
This final notice refers to breaches of APER 6 and PRIN 3 (knowingly concerned) related to financial crime and a lack of fitness/propriety in the retail bank sector. We imposed a fine and prohibition. -
Market abuse
Behaviour such as insider dealing and market manipulation can amount to market abuse. Find out more about the safeguards firms must have in place. -
FCA Final Notice 2013: Credit-2Go Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation. -
FCA Final Notice 2014: 7722656 Canada Inc formerly carrying on business as Swift Trade Inc [pdf]
This final notice refers to breaches of MAR related to market abuse in the trading firms sector. We imposed a fine.