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Showing 351 to 360 of 1294 search results for final notice refers to breaches of MAR.
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Final notice 2016: Gethin Car Sales [pdf]
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 -
FCA Final Notice 2013: Douglas Jones [pdf]
This final notice refers to breaches of APER 6 and APER 1 related to lack of fitness/propriety in the mortgage and consumer credit sector. We imposed a full prohibition and £13,300 financial penalty, after discount. -
Final Notice 2024: Inspirational Financial Management Ltd (in administration) [pdf]
This Final Notice (Inspirational Financial Management Ltd (in administration)) refers to breaches of Principles 3, 6 and 9 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a financial -
Final Notice 2022: Lyonnaise De Banque [pdf]
This final notice (Lyonnaise De Banque) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in relation to a firm within the TPR. We imposed a cancellation. -
Final notice 2016: FJ Autos Limited [pdf]
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. -
FCA Final Notice 2014: David John Hobbs [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the building societies and investment banks sector. We imposed a prohibition. -
Final Notice: FC Group Limited [pdf]
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. -
Final Notice 2018: Andrew Hind [pdf]
This final notice (Andrew Hind) refers to breaches of FIT related to a lack of fitness/propriety in the asset management sector. We imposed a prohibition. -
Final Notice 2015: Forexex Limited [pdf]
This final notice refers to breaches of Payment Services Regulations 2009, Regulation 13, related to lack of fitness/propriety and failing to be open and co-operative with the Authority. We imposed a refusal of the firm’s application for -
Final Notice 2015: EDS Insure Limited [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.