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Showing 2071 to 2080 of 4706 search results for final notice refers.
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FSA Final Notice 2012: Accendo Markets Limited [pdf]
For the reasons set out in this Final Notice, the FSA is taking action against Accendo Markets Limited -
Decision Notice 2022: Richard Adam [pdf]
The Decision Notice (Richard Adam) refers to knowing concern in breaches of the Market Abuse Regulations and Listing Rules, in the issuer’s sector. Our view is that a financial penalty should be imposed. -
Notice of Decision 2024: Zahid Hussain [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: Richard Harrington [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Decision Notice 2022: Diego Urra [pdf]
This Decision Notice refers to breaches of Market Abuse Regulations and Financial Services and Markets Act 2000 related to market abuse and market manipulation in the Investment Bank sector. Our view is that a financial penalty and a prohibition -
Notice of Decision 2023: R5FXL Ltd [pdf]
The Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: Mohammed Nasar [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: Stephen Taylor [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: Caroline Drew [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2023: Lee Moore [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.