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Showing 311 to 320 of 1294 search results for final notice refers to breaches of MAR.

311. FCA Final Notice 2014: Nick Bowyer [pdf]

     Final notices Published: 05/11/2014 Last modified: 07/04/2015
     This final notice refers to breaches of APER 6 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the payment services sector. We imposed a fine and a prohibition.

312. Final Notice 2020: RL Cars [pdf]

     Final notices Published: 21/05/2020
     This final notice (RL Cars) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

313. Final Notice 2024: Clive Harris Mongelard [pdf]

     Final notices Published: 12/07/2024
     “This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.” 

314. Final Notice 2023: LCUK Finance Ltd [pdf]

     Final notices Published: 03/04/2023
     This final notice refers to a failure to be open and co-operative with the Authority PRIN 11.

315. Final Notice 2019: Eric Ka Chi Siu [pdf]

     Final notices Published: 25/07/2019
     This final notice (Eric Ka Chi Siu) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. We imposed a financial penalty.

316. Final Notice 2019: David John Mills [pdf]

     Final notices Published: 21/06/2019
     This final notice refers to breaches of FIT related to a lack of fitness/propriety. We imposed a prohibition.

317. FCA Final Notice 2013: Christopher Willford [pdf]

     Final notices Published: 12/12/2013 Last modified: 07/04/2015
     This final notice refers to breaches of APER 6 related to failing to act on information appropriately in the retail banks sector. We imposed a fine.

318. Final Notice 2017: Insulating Windows [pdf]

     Final notices Published: 10/08/2017
     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.

319. Final Notice 2015: Unitransfer Limited [pdf]

     Final notices Published: 11/08/2015 Last modified: 11/08/2015
     This final notice refers to breaches of PSR, related to payment service regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation.

320. Final Notice 2018: Neil Danziger [pdf]

     Final notices Published: 08/01/2018
     This final notice refers to breaches of PRIN 5 and FIT related to benchmarks, lack of fitness/propriety and wholesale conduct in the investment bank sector. We imposed a fine and prohibition.