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Showing 121 to 130 of 1297 search results for Final Notice refers to breaches of APER.

121. Final Notice 2022: Hugh Edwards [pdf]

     Final notices Published: 28/04/2022
     This Final Notice (Hugh Edwards) refers to breaches of FIT. We imposed a prohibition.

122. Final notice 2016: Cenkos Securities Plc [pdf]

     Final notices Published: 09/08/2016 Last modified: 09/08/2016
     This final notice refers to listing rules breaches in the sponsor sector. We imposed a fine.

123. Final Notice 2024: Floris Jakobus Huisamen [pdf]

     Final notices Published: 13/02/2024
     This Final Notice refers to breaches of CoBS related to financial promotions in the Issuer sector. We

124. Final Notice 2020: Aviva plc [pdf]

     Final notices Published: 26/10/2020
     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

125. Final Notice 2022: Jeanine Lewis [pdf]

     Final notices Published: 28/04/2022
     This Final Notice ( Jeanine Lewis) refers to breaches of FIT. We imposed a prohibition.

126. Final Notice 2015: Asia Resource Minerals plc (formerly Bumi plc) [pdf]

     Final notices Published: 17/06/2015 Last modified: 17/06/2015
     This final notice refers to breaches of LR and DTR related to listing rules breaches in the issuer sector. We imposed a fine.

127. Final Notice 2017: Keep Sheffield Warm [pdf]

     Final notices Published: 06/10/2017
     This final notice refers to breaches of PRIN 11 related to failing to be

128. FCA Final Notice 2013: Kuya J’s Filipino Store Limited [pdf]

     Final notices Published: 02/07/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of PSR related to failing to be open and co-operative in the

129. Final Notice 2022: BGC Brokers LP, GFI Securities Limited and GFI Brokers Limited [pdf]

     Final notices Published: 08/12/2022
     This Final Notice refers to breaches of Principle 3 of the FCA’s Principles for Businesses and Article 16(2) of the Market Abuse Regulation related to market protection and wholesale conduct in the Trading Firm sector. We imposed a financial

130. Final Notice 2023: Mark Anthony Jensen [pdf]

     Final notices Published: 13/11/2023
     This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.