Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 331 to 340 of 1294 search results for final notice refers to breaches of MAR.

  1. FCA Final Notice 2014: David Gillespie [pdf]

    Final notices Published: 09/10/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 1 and APER 6 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition.

  2. Final Notice 2020: TFS-ICAP Limited [pdf]

    Final notices Published: 23/11/2020 Last modified: 23/11/2020
    This Final Notice refers to breaches of PRIN 2, PRIN 3 and PRIN 5 related to wholesale conduct in the wholesale broker sector. We imposed a financial penalty.

  3. FCA Final Notice 2013: Jeffrey Simon Bennett [pdf]

    Final notices Published: 12/07/2013 Last modified: 19/05/2015
    This final notice refers to breaches of APER 6 related to misselling and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a fine, a prohibition order and withdrawal of approval.

  4. Final Notice 2017: Dale (83) Limited [pdf]

    Final notices Published: 02/05/2017
    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.

  5. Final Notice 2023: Mr Paul Steel [pdf]

    Final notices Published: 04/07/2023
    This Final Notice refers to breaches of APER 1, 2 and 4, and COCON 1 and 3 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a financial penalty and a prohibition.

  6. Final Notice 2015: Aviva Investors Global Services Limited [pdf]

    Final notices Published: 24/02/2015 Last modified: 24/02/2015
    This final notice refers to breaches of PRIN 3, PRIN 8 and COBS related to unfair treatment of customers, conflicts of interest and culture / governance in the Asset management sector. We imposed a fine.

  7. Final Notice 2022: Julius Baer International Limited [pdf]

    Final notices Published: 30/11/2022
    This Final Notice refers to breaches of PRIN 1, PRIN 3 and PRIN 11 related to failing to act with integrity, governance and failing to be open and co-operative in the in the Wealth Management and Private Banking sector. We imposed a financial penalty

  8. Final Notice 2019: UBS AG [pdf]

    Final notices Published: 19/03/2019
    This final notice (UBS AG) refers to breaches of SUP 17, SUP 15 and PRIN 3 related to transaction reporting failures in the investment bank sector. We imposed a fine.

  9. Final Notice 2020: Frank Cochran [pdf]

    Final notices Published: 05/11/2020
    This Final Notice (Frank Cochran) refers to breaches of FIT by a financial adviser. We imposed a prohibition.

  10. Final Notice 2019: Mark Dobson [pdf]

    Final notices Published: 21/06/2019
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the retail banking sector. We imposed a prohibition.
Related topics