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Showing 351 to 360 of 1069 search results for This final notice refers to breaches of MAR related.

  1. FCA Final Notice 2013: Hyde Gardens Limited [pdf]

    Final notices Published: 21/06/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

  2. FCA Final Notice 2013: David John Nickless [pdf]

    Final notices Published: 31/05/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  3. Final Notice 2018: John McCullagh [pdf]

    Final notices Published: 03/10/2018
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the consumer credit sector. We imposed a prohibition.

  4. FCA Final Notice 2013: Ali Parvez Shaikh [pdf]

    Final notices Published: 01/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.

  5. Final notice 2016: Elizabeth Anne Parry [pdf]

    Final notices Published: 01/09/2016
    This final notice refers to breaches of APER 1 and FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition.

  6. Final Notice 2015: Paul Christopher Ridden [pdf]

    Final notices Published: 18/02/2015 Last modified: 18/02/2015
    This final notice refers to breaches of FIT, related to threshold conditions in the consumer credit sector. We imposed a cancellation.

  7. Final Notice 2017: Electronicoutlets [pdf]

    Final notices Published: 09/10/2017
    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

  8. Final Notice 2016: Pinks Agri Limited [pdf]

    Final notices Published: 05/12/2016
    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.

  9. Final Notice 2022: Julius Baer International Limited [pdf]

    Final notices Published: 30/11/2022
    This Final Notice refers to breaches of PRIN 1, PRIN 3 and PRIN 11 related to failing to act with integrity, governance and failing to be open and co-operative in the in the Wealth Management and Private Banking sector. We imposed a financial penalty

  10. Final Notice 2020: Ballooner Limited [pdf]

    Final notices Published: 25/02/2020
    This final notice (Ballooner Limited) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.