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Showing 471 to 480 of 1294 search results for final notice refers to breaches of MAR.
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Final notice 2016: AKV Vehicles 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 2015: Paul Reynolds [pdf]
This final notice refers to breaches of APER 1 and FIT related to mis-selling and failing to be open and co-operative in the investment advisor sector. We imposed a fine and a prohibition. -
Final Notice 2017: Guy Pascoe [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection and consumer credit sector. We imposed a cancellation. -
Final Notice 2021: Shaffarat Parvez [pdf]
This Final Notice (Shaffarat Parvez) refers to a failure to satisfy the Fit and Proper Test (FIT). We imposed a prohibition. -
Final Notice 2018: Christian Bittar [pdf]
This final notice refers to knowing concern in breaches of Principle 5 related to benchmark submissions. We imposed a prohibition. -
Final Notice 2016: Remote Audit Ltd [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: Clydesdale Bank PLC [pdf]
This final notice refers to breaches of PRIN 6 related to unfair treatment of customers in the retail banks sector. We imposed a fine and redress. -
Final Notice 2017: Charles Cook [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 2017: Tejoori Limited [pdf]
This final notice refers to breaches of the Market Abuse Regulation related to market abuse in the issuer sector. We imposed a fine. -
Final Notice 2020: John Richards [pdf]
This final notice (John Richards) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.