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Showing 431 to 440 of 1069 search results for This final notice refers to breaches of MAR related.
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Final notice 2016: Ray Alexander Wilson [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. -
FCA Final Notice 2013: Mark Richard Faulkner [pdf]
This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a OIVOP and a cancellation. -
FCA Final Notice 2014: Derick Anthony Whewall [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation. -
FCA Final Notice 2013: JLT Specialty Limited [pdf]
This final notice refers to breaches of PRIN 3 related to financial crime in the general insurance and protection sector. We imposed a fine. -
Final Notice 2017: Motorhaus Ltd [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: Richard Brian Spooner [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. -
FCA Final Notice 2014: Barclays Bank PLC [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 8 related to benchmarks and conflicts of interest in the investment banks sector. We imposed a fine. -
Final notice 2015: Vroni O'Brien [pdf]
This final notice refers to breaches of APER 2, APER 7, FIT and CASS related to a lack of fitness/propriety, client money/assets and failing to act on information appropriately in the general insurance and protection sector. We imposed a fine and -
FCA Final Notice 2013: Clydesdale Bank PLC [pdf]
This final notice refers to breaches of PRIN 6 related to unfair treatment of customers in the retail banks sector. We imposed a fine and redress. -
Final Notice 2019: Guiseppe Oliverio [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the private business adviser sector. We imposed a prohibition.