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Showing 411 to 420 of 1294 search results for final notice refers to breaches of MAR.
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Final Notice 2017: Electronicoutlets [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: Motor Spot 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 2023: Brian Hamilton [pdf]
This final notice (Brian Hamilton) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in relation to a firm within the Temporary Permissions Regime. We imposed a -
FCA Final Notice 2013: Paul David Cable [pdf]
This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the general insurance and protection sector. We imposed a fine and a prohibition. -
FCA Final Notice 2014: Mohammed Tazul Islam [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the mortgages sector. We imposed a cancellation. -
FCA Final Notice 2013: Richards Wines and Levy Limited [pdf]
This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a cancellation. -
Final Notice 2020: Adnan Hassan [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: Hyde Gardens Limited [pdf]
This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation. -
Final Notice 2018: Russell Taylor [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2018: John McCullagh [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the consumer credit sector. We imposed a prohibition.