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Showing 1291 to 1300 of 2139 search results for final notice refers to breaches.

  1. Decision Notice 2023: Vladimir Bolelyy [pdf]

    Decision notices Published: 05/05/2023
    This Decision Notice (Vladimir Bolelyy) refers to breach of Conduct Rule 1 (COCON 2.1.1R) related to failing to act with integrity in the private banking sector. Our view is that a financial penalty of £14,200 and prohibition should be imposed.

  2. Decision Notice 2022: Stephen Joseph Burdett [pdf]

    Decision notices Published: 24/05/2024
    This Decision Notice (Stephen Joseph Burdett) refers to breaches of PRIN 1, lack of integrity related to failing to act with integrity and failing to operate in accordance with permissions in the pensions sector. Our view is that a financial penalty

  3. Decision Notice 2022: Gatehouse Bank Ltd [pdf]

    Decision notices Published: 14/10/2022
    This Decision Notice refers to breaches of the Money Laundering Regulations 2007 related to financial crime in the Retail bank sector. A financial penalty has been imposed

  4. Decision Notice 2022: James Paul Goodchild [pdf]

    Decision notices Published: 24/05/2024
    This Decision Notice (James Paul Goodchild) refers to breaches of PRIN 1, lack of integrity related to failing to act with integrity in the pensions sector. Our view is that a financial penalty and prohibition should be imposed.

  5. Decision Notice 2022: Carillion (in liquidation) [pdf]

    Decision notices Published: 28/07/2022
    The Decision Notice (Carillion (in liquidation)) refers to breaches of the Market Abuse Regulations and Listing Rules, within the issuer’s sector. Our view is that a public censure should be imposed.

  6. Decision Notice 2022: Richard John Howson [pdf]

    Decision notices Published: 28/07/2022
    The Decision Notice (Richard John Howson) 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.

  7. Decision Notice 2023: Nailesh Manubhai Teraiya [pdf]

    Decision notices Published: 18/03/2024
    This Decision Notice refers to breaches of APER 1 related to a trading strategy which resulted in unlawful tax reclaims in the trading firms sector. Our view is that a financial penalty and prohibition should be imposed.

  8. Decision Notice: Jin-Yi Lee [pdf]

    Decision notices Published: 31/05/2019
    This decision notice (Jin-Yi Lee) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. Our view is that a fine should be imposed.

  9. Decision Notice 2023: Banque Havilland SA [pdf]

    Decision notices Published: 05/05/2023
    This Decision Notice (Banque Havilland SA) refers to breach of Principle 1 related to failing to conduct its business with integrity in the private banking sector. Our view is that a financial penalty of £10,000,000 should be imposed.

  10. Decision Notice 2022: Jorge Lopez Gonzalez [pdf]

    Decision notices Published: 07/12/2022
    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
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