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Showing 601 to 610 of 1294 search results for final notice refers to breaches of MAR.
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Final Notice 2017: Marvin Patterson [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: The Encore Trading Company Limited [pdf]
This final notice refers to breaches of PRIN11 and COND relating to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
FCA Final Notice 2014: Yorkshire Building Society [pdf]
This final notice refers to breaches of PRIN 7 related to financial promotions in the building society sector. We imposed a fine. -
FCA Final Notice 2014: Pritchard Stockbrokers Limited (In Special Administration) [pdf]
This final notice refers to breaches of PRIN 1, PRIN 2, PRIN 10 related to client money/assets in the asset management sector. We imposed a public censure. -
Final Notice 2017: Swift Transfer Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and cooperative in the payment services sector. We imposed a cancellation. -
FCA Final Notice 2014: Coffin Insurance Services [pdf]
This Final Notice refers to breaches of Principle 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation. -
FCA Final Notice 2014: GS Cars (UK) Limited [pdf]
This final notice refers to breaches of COND related to lack of fitness/propriety in the consumer credit sector. We imposed a refusal. -
Final Notice 2017: David Stephen Hancock [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: Janice Maureen Tomlinson [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 2019: Bank of Scotland Plc [pdf]
This final notice refers to breaches of PRIN 11 and SUP, relating to failing to be open and cooperative in the retail bank sector. We imposed a financial penalty.