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Showing 391 to 400 of 1069 search results for This final notice refers to breaches of MAR related.
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Final notice 2016: GGK Investments Limited [pdf]
This final notice refers to breaches of PRIN 4, COND and INPRU-INV related to threshold conditions in the investment adviser sector. We imposed a cancellation. -
FCA Final Notice 2013: Paul David Cable [pdf]
This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the general insurance and protection sector. We imposed a fine and a prohibition. -
Final Notice 2015: Forexex Limited [pdf]
This final notice refers to breaches of Payment Services Regulations 2009, Regulation 13, related to lack of fitness/propriety and failing to be open and co-operative with the Authority. We imposed a refusal of the firm’s application for -
Final Notice 2017: Deutsche Bank [pdf]
This final notice refers to breaches of PRIN 3 and SYSC related to culture/governance and financial crime in the investment bank sector. We imposed a fine. -
FCA Final Notice 2014: Leanne Marie Nicholson [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition. -
Final Notice 2017: Tejoori Limited [pdf]
This final notice refers to breaches of the Market Abuse Regulation related to market abuse in the issuer sector. We imposed a fine. -
Final Notice 2019: Minstrel Ltd [pdf]
This final notice (Minstrel Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2018: Barot Bros (Bhupatsinh Barot trading as) [pdf]
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. -
Final Notice 2017: Paul John Moorefield [pdf]
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. -
Final Notice 2023: Zereen Money Limited [pdf]
This final notice refers to breaches of payment services regulations (PSR) related to failing to be open and co-operative in the payment services sector. We imposed a cancellation.