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Showing 1261 to 1270 of 1294 search results for final notice refers to breaches of MAR.

  1. Final Notice 2017: Elswick and Cruddas Park Credit Union Limited [pdf]

    Final notices Published: 22/08/2017
    This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the credit union sector. We imposed a cancellation.

  2. Final Notice 2022: The TJM Partnership Limited (Formerly known as Neovision Global Capital Limited) (In Liquidation) [pdf]

    Final notices Published: 15/07/2022
    This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty.

  3. Primary Market Bulletin Issue No. 29

    Newsletters Published: 09/06/2020 Last modified: 09/06/2020
    In this special edition, we publish a statement on feedback we received from PMB25 and the changes we have made in response. We also include the final note.

  4. Final Notice 2018: D & J Roofing & Building Services Limited [pdf]

    Final notices Published: 09/03/2018
    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 2022: Bolton Premier Motors (trading as Ascot Motor Cars) [pdf]

    Final notices Published: 04/02/2022
    This Final Notice (Bolton Premier Motors (trading as Ascot Motor Cars)) 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

  6. AIM Investment Company fined for failing to disclose inside information as soon as possible

    Press Releases Published: 14/12/2017 Last modified: 14/12/2017
    The Financial Conduct Authority (FCA) has today fined Tejoori Limited (Tejoori) £70,000 for failing to inform the market of inside information as required by Article 17(1) of the Market Abuse Regulation (MAR).  This is the first fine the FCA has

  7. Final Notice: Aviva Pension Trustees UK Limited, Aviva Wrap UK Limited [pdf]

    Final notices Published: 05/10/2016 Last modified: 05/10/2016
    This final notice refers to breaches of PRIN 3, PRIN 10, CASS Rules, SUP and SYSC related to client money/assets and culture/governance in the life insurance sector. We imposed a fine.

  8. Final Notice 2020: Darren Evans (trading as BD Automotive and BD Performance) [pdf]

    Final notices Published: 16/10/2020 Last modified: 16/10/2020
    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

  9. FCA fines former managing director £45,000 for failure to notify personal trades

    Press Releases Published: 20/12/2019 Last modified: 20/12/2019
    The FCA has fined Kevin Gorman, a former Managing Director at Braemar Shipping Services plc (Braemar), £45,000 for failure to notify personal trades.

  10. Final Notice 2023: First Class Blinds Belfast Limited (trading as First Class Blinds) [pdf]

    Final notices Published: 14/03/2023
    This final notice (First Class Blinds Belfast Limited (trading as First Class Blinds)) 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
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