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Showing 61 to 70 of 1294 search results for final notice refers to breaches of MAR.
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Final Notice 2018: Metlife Ltd [pdf]
This final notice refers to breaches of Principle 4, COND and MIPRU related to failing to in the general insurance and protection sector. We imposed a cancellation. -
Final Notice 2024: Fast Remit Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative and payment services regulations in the payment services sector. We imposed a cancellation. -
Final Notice 2015: Reckitt Benckiser Group Plc [pdf]
This final notice refers to breaches of LR and DTR related to listing rules breaches in the issuer sector. We imposed a financial penalty. -
Final Notice 2023: Susan Mary Jones [pdf]
This Final Notice refers to breaches of Principles for Business 2 related to the provision of unsuitable pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £40,888 is being made to the FSCS. -
Final Notice 2020: John Butterfield [pdf]
This Final Notice (John Leonard Butterfield) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition. -
Final Notice 2017: Adrian Whitehurst [pdf]
This final notice refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. Final Notice: Adrian Whitehurst Conduct: Client money/assets; Lack of fitness/propriety -
Final Notice 2022: Andrew Roy Brooke [pdf]
This Final Notice (Andrew Roy Brooke) refers to breaches of FIT. We imposed a prohibition. -
Final Notice 2021: Omar Hussein [pdf]
This Final Notice refers to breaches of APER 1 and 7 related to failing to act with integrity and failing to demonstrate that suitable advice was given in the pensions sector. We imposed a financial penalty, withdrawal and prohibition. -
Final Notice 2020: Kirt Blackburn [pdf]
This final notice (Kirt Blackburn) 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: Christine Whitehurst [pdf]
This final notice refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. Final Notice: Christine Whitehurst Conduct: Client money/assets; Lack of