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Showing 121 to 130 of 1305 search results for Final Notice refers to breaches of APER.
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Final Notice 2016: Marlborough Isleworth Motors Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative -
Final Notice 2020: Peter Howson [pdf]
This Final Notice (Peter Anthony Hoswon) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition. -
Final Notice 2022: Stuart Rea [pdf]
This Final Notice (Stuart Rea) refers to breaches of FIT. We imposed a prohibition. -
Final Notice 2020: Barclays [pdf]
This Final Notice (Barclays) refers to breaches of PRIN 6, PRIN 3, and CONC related to unfair treatment of customers in the Retail Banking sector. We imposed a financial penalty. -
Final Notice 2020: Aviva plc [pdf]
This Final Notice (Aviva plc) refers to breaches of Listing Rule 1.3.3R and Transparency Rule 1A.3.2R related to Listing rules/DTR breaches in the General Insurance and Protection sector. We issued a public censure. File updated with accessibility -
Final Notice 2022: Hugh Edwards [pdf]
This Final Notice (Hugh Edwards) refers to breaches of FIT. We imposed a prohibition. -
Final notice 2016: Cenkos Securities Plc [pdf]
This final notice refers to listing rules breaches in the sponsor sector. We imposed a fine. -
Final Notice 2015: Asia Resource Minerals plc (formerly Bumi plc) [pdf]
This final notice refers to breaches of LR and DTR related to listing rules breaches in the issuer sector. We imposed a fine. -
Final Notice 2022: Jeanine Lewis [pdf]
This Final Notice ( Jeanine Lewis) refers to breaches of FIT. We imposed a prohibition. -
Final Notice 2024: Floris Jakobus Huisamen [pdf]
This Final Notice refers to breaches of CoBS related to financial promotions in the Issuer sector. We