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Showing 541 to 550 of 1294 search results for final notice refers to breaches of MAR.
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Final Notice 2018: David James Carter Mullins [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety and unfair treatment of customers in the consumer credit sector. We imposed a prohibition. -
Final Notice 2015: Alberto Micalizzi [pdf]
This final notice refers to breaches of APER 1 related to client money/assets, and lack of fitness/propriety in the asset management sector. We imposed a fine and a prohibition. -
Final notice 2015: Big T Media Limited [pdf]
The final notice refers to breaches of COND, CONC, PRIN 11, CASS, SYSC related to threshold conditions and failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final Notice 2016: Tariq Carrimjee [pdf]
This final notice refers to breaches of APER 2 and FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition. -
Final Notice 2017: Seclo Limited [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final Notice 2017: Steven Paul Billing [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: Stuart Watkins Cars [pdf]
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. -
Final notice 2020: Epos Up Limited [pdf]
This final notice (Epos Up Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
FCA Final Notice 2013: Montague Capital Limited [pdf]
This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the asset management sector. We imposed a cancellation. -
Final Notice 2015: Quick Purchase [pdf]
This Final Notice refers to breaches of PRIN 6 and MCOB (Mortgage Conduct of Business Rules) related to unfair treatment of customers in the sale and rent back sector. We imposed a fine and redress.