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Showing 491 to 500 of 1294 search results for final notice refers to breaches of MAR.
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Final Notice 2015: Ghanshyam Sarup Batra [pdf]
This final notice refers to breaches of FIT, APER 1, APER 4 related to lack of fitness/propriety and failing to be open and co-operative in the mortgages sector. We imposed a prohibition and a withdrawal. -
Final Notice 2017: Motorhaus 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. -
Final Notice 2022: Philippe Moryoussef [pdf]
This Final Notice refers to Mr Moryoussef’s fitness and propriety to perform a regulated function, following his conviction for conspiracy to defraud. We have prohibited Mr Moryoussef from performing any function in relation to a regulated activity -
Final Notice 2017: XYZ Agencies 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: Badruzzaman Choudhury [pdf]
This final notice refers to breaches of PSR, related to payment services regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
FCA Final Notice 2013: ICAP Europe Ltd [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firms sector. We imposed a fine. -
Final Notice 2017: Claudia Vida [pdf]
This final notice refers to breaches of Principle 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2018: Jonathan Mathew [pdf]
This final notice refers to breaches of FIT related to benchmarks, a lack of fitness/propriety and wholesale conduct in the retail bank sector. We imposed a prohibition. -
Final Notice 2021: Donna Worsfold [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the credit broking sector. We refused the firm’s application for authorisation. -
Final notice 2016: CT Capital Limited [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 6 related to complaints-handling and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine.