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Showing 571 to 580 of 1294 search results for final notice refers to breaches of MAR.

  1. Final Notice 2015: Craig McNeil [pdf]

    Final notices Published: 22/09/2015 Last modified: 29/09/2015
    This final notice refers to breaches of APER 4 and APER 6, FIT, failing to be open and co-operative, lack of fitness/propriety and failing to act on information appropriately in the asset management sector. We imposed a fine and prohibition.

  2. Final notice 2016: Kildare Capital (UK) Limited [pdf]

    Final notices Published: 22/07/2016 Last modified: 22/07/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector. We imposed a cancellation.

  3. FCA Final Notice 2013: Sadiq Exchange Limited [pdf]

    Final notices Published: 29/10/2013 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. FCA Final Notice 2014: Best Value 4 U Limited [pdf]

    Final notices Published: 19/05/2014 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.

  5. Final Notice 2022: Andrew Mark Thomas Page [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Andrew Mark Thomas Page) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a prohibition and

  6. Final Notice 2015: Sam Thomas Kenny [pdf]

    Final notices Published: 13/03/2015 Last modified: 13/03/2015
    This final notice refers to breaches of APER 1 and APER 7 related to unfair treatment of customers, mis-selling, lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

  7. FCA Final Notice 2014: Peter Thomas Carron [pdf]

    Final notices Published: 16/09/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 1 related to unfair treatment of customers, and lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

  8. FCA Final Notice 2013: Ingram Graham Limited (in Creditors’ Voluntary Liquidation) [pdf]

    Final notices Published: 21/08/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

  9. Final Notice 2018: Keith Buckfield [pdf]

    Final notices Published: 08/05/2018
    This final notice (Keith Buckfield) 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: Christopher Niehaus [pdf]

    Final notices Published: 30/03/2017
    This final notice refers to breaches of APER 2 related to wholesale conduct in the investment banking sector. We imposed a fine.
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