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Showing 151 to 160 of 1069 search results for This final notice refers to breaches of MAR related.

151. Final Notice 2016: Daniel Peter Terrence Forsyth [pdf]

     Final notices Published: 01/11/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

152. Final Notice 2017: Ann Burke [pdf]

     Final notices Published: 31/03/2017
     This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

153. Final Notice 2017: Stephen Duffy [pdf]

     Final notices Published: 04/07/2017
     This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

154. Final Notice 2024: Tyrone Miller [pdf]

     Final notices Published: 31/05/2024
     “This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.”

155. Final Notice 2017: Sujeel Ranjha [pdf]

     Final notices Published: 09/01/2017
     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.

156. Final Notice 2017: James Pollock [pdf]

     Final notices Published: 20/02/2017
     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.

157. Final Notice 2017: Glen Eagleson [pdf]

     Final notices Published: 21/02/2017
     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.

158. Final Notice 2024: Paul Ulliott [pdf]

     Final notices Published: 15/01/2024
     This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

159. FCA Final Notice 2014: The Royal Bank of Scotland Plc [pdf]

     Final notices Published: 12/11/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

160. FCA Final Notice 2014: Besso Limited [pdf]

     Final notices Published: 19/03/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 related to anti-Bribery and corruption in the general insurance and protection sector. We imposed a fine.