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Showing 221 to 230 of 1331 search results for This Final Notice refers to breaches of FIT.

  1. Final Notice 2024: Kulvir Virk [pdf]

    Final notices Published: 24/06/2024
    This Final Notice refers to breaches of PRIN 1 and PRIN 6 related to a failure to act with integrity and a failure to exercise due care, skill and diligence in the pensions sector. We imposed a financial penalty and a prohibition order.

  2. Final Notice 2015: Asia Resource Minerals plc (formerly Bumi plc) [pdf]

    Final notices Published: 17/06/2015 Last modified: 17/06/2015
    This final notice refers to breaches of LR and DTR related to listing rules breaches in the issuer sector. We imposed a fine.

  3. Final Notice 2017: Keep Sheffield Warm [pdf]

    Final notices Published: 06/10/2017
    This final notice refers to breaches of PRIN 11 related to failing to be

  4. FCA Final Notice 2013: Kuya J’s Filipino Store Limited [pdf]

    Final notices Published: 02/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PSR related to failing to be open and co-operative in the

  5. Final Notice 2019: Prindiville Plc [pdf]

    Final notices Published: 25/07/2019
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in

  6. Final notice 2016: Cenkos Securities Plc [pdf]

    Final notices Published: 09/08/2016 Last modified: 09/08/2016
    This final notice refers to listing rules breaches in the sponsor sector. We imposed a fine.

  7. Final Notice 2020: Aviva plc [pdf]

    Final notices Published: 26/10/2020
    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

  8. Final Notice 2022: Simon Tyson [pdf]

    Final notices Published: 06/10/2022
    This Final Notice (Simon Tyson) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial penalty

  9. Final Notice 2020: Barclays [pdf]

    Final notices Published: 15/12/2020
    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.

  10. Final notice 2016: Independent Family Advisers Limited [pdf]

    Final notices Published: 02/06/2016 Last modified: 02/06/2016
    This final notice refers to an application for authorisation of Independent Family Advisers Limited. The proposals made in support of the application had the hallmarks of what is sometimes described as “phoenixing”. We refused the application as
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