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Showing 661 to 670 of 1294 search results for final notice refers to breaches of MAR.
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Final notice 2016: Timothy Duncan Philip [pdf]
This final notice refers to breaches of APER 6 and FIT related to a lack of fitness and propriety and client money/assets in the general insurance and protection sector. We imposed a fine and prohibition. -
Final Notice 2017: Waterside Vehicles Ltd [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 2015: Simon Mark Silva-Peake [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety, client money/assets and unfair treatment of customers in the investment adviser sector. We imposed a prohibition. -
FCA Final Notice 2014: Supercroft Trading Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
Final Notice 2016: Clarks of Garforth Limited [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 2020: Redcentric PLC [pdf]
This final notice (Redcentric PLC) refers to a breach of section 118(7) FSMA and the committal of market abuse by the publishing of false and misleading information about the financial position of an AIM-listed company. We imposed a public censure -
FCA Final Notice 2013: Nonwoven Solutions Limited [pdf]
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. -
FCA Final Notice 2013: Mark Bentley-Leek [pdf]
This final notice refers to breaches of APER 1 and 7 related to mis-selling, lack of fitness and propriety, and conflicts of interest in the investment advisors and platforms sector. We imposed a prohibition, withdrawal and a fine . -
Final Notice 2016: Yesmar Restaurants Limited [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 2023: C2 Motor Group Ltd [pdf]
This Final Notice (C2 Motor Group Ltd) refers to a failure to satisfy the threshold conditions (COND) in the consumer credit sector. We refused the firm’s application for authorisation.