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Showing 161 to 170 of 1294 search results for final notice refers to breaches of MAR.

161. Final Notice 2017: Nadeem Aslam [pdf]

     Final notices Published: 23/06/2017
     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.

162. Final Notice 2024: Paul Ulliott [pdf]

     Final notices Published: 15/01/2024
     This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

163. Final Notice 2015: Robin Choudhury [pdf]

     Final notices Published: 16/11/2015 Last modified: 16/11/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the general insurance and protection sector. We imposed a prohibition.

164. Final notice 2016: James Kirkwood [pdf]

     Final notices Published: 03/03/2016 Last modified: 03/03/2016
     This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

165. Final notice 2016: W H Ireland Limited [pdf]

     Final notices Published: 23/02/2016 Last modified: 23/02/2016
     This final notice refers to breaches of PRIN 3 and SYSC related to market protection, culture/governance and conflicts of interest in the wealth management and private banking sector. We imposed a fine and restriction.

166. Final Notice 2017: Howard Coles [pdf]

     Final notices Published: 04/01/2017
     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.

167. Final Notice 2017: Jordanne Moy [pdf]

     Final notices Published: 02/02/2017
     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.

168. Final Notice 2017: Michael Fern [pdf]

     Final notices Published: 02/02/2017
     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.

169. Final Notice 2024: Robert Harriss [pdf]

     Final notices Published: 24/05/2024
     This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the credit broker sector. We imposed a prohibition.

170. Final Notice 2022: JLT Specialty Limited [pdf]

     Final notices Published: 22/06/2022
     This Final Notice (JLT Speciliaty Limited) refers to breaches of PRIN 3 related to anti-bribery and corruption and financial crime in the general insurance and protection sector. We imposed a financial penalty.