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Showing 551 to 560 of 1294 search results for final notice refers to breaches of MAR.

  1. Final Notice 2022: Timothy Haywood [pdf]

    Final notices Published: 30/03/2022
    The Final Notice refers to breaches of APER 2 and 7 related to the management of conflicts of interest in the asset management sector. We imposed a financial penalty.

  2. Final Notice 2015: Barclays Bank PLC - November 2015 [pdf]

    Final notices Published: 26/11/2015 Last modified: 26/11/2015
    This final notice refers to breaches of PRIN 2 related to financial crime failings. We imposed a fine.

  3. FCA Final Notice 2013: Swift Masters Limited [pdf]

    Final notices Published: 04/11/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.

  4. Final Notice 2016: (Be)Spoke Derby Limited [pdf]

    Final notices Published: 05/12/2016
    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.

  5. Final notice 2016: Tellaw (UK) Limited [pdf]

    Final notices Published: 17/08/2016
    This final notice refers to breaches of the Electronic Money Regulations 2011, Regulation 13, related to initial capital, business plan, safeguarding, lack of fitness and propriety, and failing to be open and co-operative with the Authority. We

  6. Final Notice 2017: Jamie Harwood T/A MJ HARWOOD [pdf]

    Final notices Published: 07/07/2017
    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.

  7. Final Notice 2023: Vast Cars Limited [pdf]

    Final notices Published: 27/01/2023
    This final notice (Vast Cars Limited) refers to a failure to satisfy the Suitability and Appropriate Resources threshold conditions (COND) in the consumer credit sector. We imposed a cancellation.

  8. FCA Final Notice 2014: Santander UK plc [pdf]

    Final notices Published: 26/03/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to unfair treatment of customers in the wealth management and private banking, investment advisers and platforms sector. We imposed a fine.

  9. Final Notice 2018: William Dighton [pdf]

    Final notices Published: 21/09/2018
    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

  10. Final Notice 2017: Southwater Cars [pdf]

    Final notices Published: 19/10/2017
    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.
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