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Showing 11 to 20 of 2071 search results for Final Notice refers to breaches.

  1. Final Notice 2013: Michael Coscia [pdf]

    Final notices Published: 03/07/2013 Last modified: 07/04/2015
    This final notice refers to breaches of MAR related to market abuse in the trading frims sector. We imposed a fine.
  2. Final Notice 2017: Tesco plc [pdf]

    Final notices Published: 28/03/2017
    This final notice refers to breaches of s.118(7) related to market abuse in the issuer sector. We imposed a restitution.
  3. FCA Final Notice 2015: Tiuta Plc [pdf]

    Final notices Published: 05/11/2015 Last modified: 05/11/2015
    This Final Notice refers to breaches of PRIN 4, COND, MIPRU and IPRU-INV related to threshold conditions in the investment adviser sector. We imposed a cancellation.
  4. Final notice 2016: R Sadler [pdf]

    Final notices Published: 12/05/2016 Last modified: 12/05/2016
    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.
  5. 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
  6. Final notice 2016: Naimat Gul [pdf]

    Final notices Published: 22/08/2016
    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.
  7. FCA Final Notice 2013: Martin Peter Gwynn [pdf]

    Final notices Published: 17/12/2013 Last modified: 08/06/2020
    This final notice refers to breaches of FIT related to
  8. Final notice 2016: Pacific Continental Securities (UK) Limited (In Liquidation) [pdf]

    Final notices Published: 15/03/2016 Last modified: 17/03/2016
    This final notice refers to breaches of Prin 4, Cond and IPRU-INV related to threshold conditions in the investment advisor sector. We imposed a cancellation.
  9. Final Notice 2023: David Nigel Lewis [pdf]

    Final notices Published: 27/11/2023
    This Final Notice refers to breaches of Principles for Business 6 and 7 related to the provision of unsuitable pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £26,800 is being made to the FSCS.
  10. Final Notice 2015: Neil Moir trading as ‘Readymoney’ [pdf]

    Final notices Published: 26/08/2015 Last modified: 26/08/2015
    This final notice refers to breaches of COND and PRIN 11 related to threshold conditions, failing to be open and co-operative and lack of fitness/propriety in the consumer credit sector. We imposed a refusal.