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Showing 1 to 10 of 2055 search results for Final Notice refers to breaches.
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2022 fines
Enforcement fines published in 2022. -
2019 fines
This page contains information about enforcement fines published during the calendar year ending 2019. -
2020 fines
This page contains information about enforcement fines published during the calendar year ending 2020. -
2018 fines
This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212. -
2023 fines
Enforcement fines published in 2023. -
2021 fines
This page contains information about enforcement fines published during the calendar year ending 2021. -
Final notice 2016: Alan Whittington [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open -
Final Notice 2013: Michael Coscia [pdf]
This final notice refers to breaches of MAR related to market abuse in the trading frims sector. We imposed a fine. -
Final Notice 2017: Tesco plc [pdf]
This final notice refers to breaches of s.118(7) related to market abuse in the issuer sector. We imposed a restitution. -
FCA Final Notice 2015: Tiuta Plc [pdf]
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.