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Showing 1171 to 1180 of 1294 search results for final notice refers to breaches of MAR.

  1. Final Notice 2015: Anseba Cafe & International Exchange Limited [pdf]

    Final notices Published: 05/08/2015 Last modified: 05/08/2015
    This final notice refers to breaches of PSR, related to failing to be open and co-operative in the payment services sector. We imposed a cancellation.

  2. Final Notice 2019: Prestige Group (UK) I Ltd [pdf]

    Final notices Published: 07/01/2019
    This final notice (Prestige Group (UK) I Ltd) refers to breaches of payment services regulations (PSR) related to failing to be open and co-operative in the payment services sector. For the interest and protection of Consumers, we imposed a

  3. Final Notice 2021: Jon Frensham (formerly known as Jonathan James Hunt) [pdf]

    Final notices Published: 17/09/2021
    This Final Notice (Jon Frensham, formerly known as Jonathan James Hunt) refers to breaches of FIT by a financial adviser. We imposed a prohibition.

  4. Final Notice 2019: DMC Health Wize Limited [pdf]

    Final notices Published: 08/05/2019
    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.

  5. Final Notice 2017: We Source Any Vehicle Limited [pdf]

    Final notices Published: 19/10/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  6. Final notice 2017: Healthy Homes Clean Air Limited [pdf]

    Final notices Published: 22/03/2017
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

  7. Final Notice 2021: Nigelsands Car Sales Retail Limited [pdf]

    Final notices Published: 12/02/2021
    This final notice (Nigelsands Car Sales Retail Limited) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority PRIN 11 in the consumer credit sector. We imposed a cancellation.

  8. Final Notice 2022: GAM International Management Limited [pdf]

    Final notices Published: 30/03/2022
    The Final Notice refers to breaches of PRIN 2 and 8 related to the management of conflicts of interest in the asset management sector. We imposed a financial penalty.

  9. Final Notice 2023: ADM Investor Services International Limited [pdf]

    Final notices Published: 02/10/2023
    This Final Notice refers to breaches of Principle 3 of the FCA’s Principles for Business related to serious financial crime control failings in the Wholesale Intermediaries and Brokers sector. We imposed a financial penalty of £6,470,600.

  10. Final Notice 2017: KJ Precious Metal Trading LLP [pdf]

    Final notices Published: 30/05/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the investment adviser sector. We imposed a cancellation.
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