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Showing 11 to 20 of 1294 search results for final notice refers to breaches of MAR.

11. Final Notice 2020: Corrado Abbattista [pdf]

    Final notices Published: 15/12/2020
    This Final Notice refers to breaches of FIT and MAR related to market abuse in the trading firm sector. We imposed a prohibition and financial penalty. File updated to include autotag accessibility requirement.

12. Final Notice 2019: Kevin Gorman [pdf]

    Final notices Published: 20/12/2019
    This Final Notice refers to breaches of Article 19(1) of MAR related to failing to notify trading in shares to their issuer and the FCA as a PDMR in the issuer sector. We imposed a financial penalty.

13. 2020 fines

    News stories Published: 21/01/2020 Last modified: 02/12/2022
    This page contains information about enforcement fines published during the calendar year ending 2020.

14. 2019 fines

    News stories Published: 16/01/2019 Last modified: 20/01/2020
    This page contains information about enforcement fines published during the calendar year ending 2019.

15. Final Notice 2024: Citigroup Global Markets Limited [pdf]

    Final notices Published: 22/05/2024
    This Final Notice refers to breaches of PRIN 2 and 3, and MAR 7A 3.2 related to wholesale conduct in the investment bank sector. We imposed a fine.

16. Final Notice 2022: Simon Tyson [pdf]

    Final notices Published: 06/10/2022
    This Final Notice (Simon Tyson) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial penalty

17. Final Notice 2022: BGC Brokers LP, GFI Securities Limited and GFI Brokers Limited [pdf]

    Final notices Published: 08/12/2022
    This Final Notice refers to breaches of Principle 3 of the FCA’s Principles for Businesses and Article 16(2) of the Market Abuse Regulation related to market protection and wholesale conduct in the Trading Firm sector. We imposed a financial

18. Final Notice 2022: Sir Christopher Gent [pdf]

    Final notices Published: 05/08/2022 Last modified: 12/08/2022
    This Final Notice (Sir Christopher Gent) refers to breaches of the Market Abuse Regulations related to unlawful disclosure of inside information in the issuers sector. We imposed a financial penalty

19. 2024 fines

    News stories Published: 25/03/2024 Last modified: 25/06/2024
    Enforcement fines published in 2024.

20. Final Notice 2022: Matthew Charles Kent [pdf]

    Final notices Published: 06/10/2022
    This Final Notice (Matthew Charles Kent) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial