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Showing 31 to 40 of 1294 search results for final notice refers to breaches of MAR.

31. 2023 fines

    News stories Published: 12/01/2023 Last modified: 04/04/2024
    Enforcement fines published in 2023.

32. Final notice 2016: Alan Whittington [pdf]

    Final notices Published: 25/02/2016 Last modified: 25/02/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open

33. Final Notice 2024: Graham Lilley T/A Global Car Leasing [pdf]

    Final notices Published: 12/06/2024
    This Final Notice refers to breaches of FIT and COND related to a lack of fitness/propriety and breach of COND in the consumer credit sector. We imposed a prohibition and a cancellation of Part 4A permissions.

34. Final Notice 2017: Tesco plc [pdf]

    Final notices Published: 28/03/2017
    This final notice refers to breaches of s.118(7) related to market abuse in the issuer sector. We imposed a restitution.

35. FCA Final Notice 2013: Martin Peter Gwynn [pdf]

    Final notices Published: 17/12/2013 Last modified: 08/06/2020
    This final notice refers to breaches of FIT related to

36. Final Notice 2024: Kulvir Virk [pdf]

    Final notices Published: 24/06/2024
    This Final Notice refers to breaches of PRIN 1 and PRIN 6 related to a failure to act with integrity and a failure to exercise due care, skill and diligence in the pensions sector. We imposed a financial penalty and a prohibition order.

37. Final Notice 2016: Marlborough Isleworth Motors Limited [pdf]

    Final notices Published: 21/11/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative

38. Final Notice 2020: Peter Howson [pdf]

    Final notices Published: 12/10/2020 Last modified: 12/10/2020
    This Final Notice (Peter Anthony Hoswon) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.

39. Final Notice 2022: Stuart Rea [pdf]

    Final notices Published: 28/04/2022
    This Final Notice (Stuart Rea) refers to breaches of FIT. We imposed a prohibition.

40. Final Notice 2024: Floris Jakobus Huisamen [pdf]

    Final notices Published: 13/02/2024
    This Final Notice refers to breaches of CoBS related to financial promotions in the Issuer sector. We