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Showing 1 to 10 of 2125 search results for This final notice refers to breaches.
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Final Notice 2024: Apex Money Limited [pdf]
This final notice refers to breaches of Payment Services Regulations 2017 related to a failure to meet the conditions of registration. We imposed a cancellation. -
2022 fines
Enforcement fines published in 2022. -
2019 fines
This page contains information about enforcement fines published during the calendar year ending 2019. -
2024 fines
Enforcement fines published in 2024. -
2020 fines
This page contains information about enforcement fines published during the calendar year ending 2020. -
2018 fines
This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212. -
2023 fines
Enforcement fines published in 2023. -
Final notice 2016: Alan Whittington [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open -
Final Notice 2013: Michael Coscia [pdf]
This final notice refers to breaches of MAR related to market abuse in the trading frims sector. We imposed a fine. -
Final Notice 2024: Kulvir Virk [pdf]
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.