Search results
Showing 121 to 130 of 1090 search results for Final Notice refers to breaches of APER 1 and 7 related.
-
Final Notice 2019: Wedgwood Vehicle Solutions Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in -
Final Notice 2015: Asia Resource Minerals plc (formerly Bumi plc) [pdf]
This final notice refers to breaches of LR and DTR related to listing rules breaches in the issuer sector. We imposed a fine. -
Final Notice 2017: Eastern Union Remittance and Exchange Limited [pdf]
This final notice refers to breaches of Principle 11 related to failing to be open and -
Final Notice 2019: Andrew Morris Cars Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in -
Final Notice 2020: Peter Howson [pdf]
This Final Notice (Peter Anthony Hoswon) 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 2020: Aviva plc [pdf]
This Final Notice (Aviva plc) refers to breaches of Listing Rule 1.3.3R and Transparency Rule 1A.3.2R related to Listing rules/DTR breaches in the General Insurance and Protection sector. We issued a public censure. File updated with accessibility -
Final Notice 2019: Pitshop Motors (Swindon) Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in -
Final Notice 2020: Barclays [pdf]
This Final Notice (Barclays) refers to breaches of PRIN 6, PRIN 3, and CONC related to unfair treatment of customers in the Retail Banking sector. We imposed a financial penalty. -
Final Notice 2015: Leadgen (UK) Limited [pdf]
This final notice refers to breaches of Principle 11 related to threshold conditions breaches in the consumer credit sector. We imposed a cancellation. -
Final Notice 2023: Mark Anthony Jensen [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.