Search results
Showing 111 to 120 of 1294 search results for final notice refers to breaches of MAR.
-
Final Notice 2020: Goldman Sachs International (GSI) [pdf]
This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to wholesale conduct in the investment bank sector. We imposed a financial penalty. -
Final Notice 2021: Premier FX Limited [pdf]
This Final Notice refers to breaches of the Payment Services Regulations in the Payment Services sector. We imposed a public censure. -
Final Notice 2020: Small Batch Coffee Ltd [pdf]
This final notice (Small Batch Coffee Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
FCA Final Notice 2013: Coöperatieve Centrale Raiffeisen–Boerenleenbank B.A. (Rabobank) [pdf]
This final notice refers to breaches of PRIN 2, PRIN 3, and PRIN 5 related to benchmarks in the investment banks sector. We imposed a fine. -
Final notice 2016: Jawad Khan [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 2016: Mark Thorogood [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety and mortgage fraud in the mortgages sector. We imposed a refusal. -
Final notice 2016: Patrick Gray [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final notice 2016: Lester Evans [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and cooperative and threshold conditions in the general insurance and protection sector. We imposed a cancellation. -
Final notice 2016: Mr Paul White [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment bank sector. We imposed a prohibition and public censure. -
Final notice 2016: Volpe Capital Management LLP [pdf]
This final notice refers to a breach of PRIN 11 related to failing to be open and co-operative in the investment adviser sector. We imposed a cancellation.