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Showing 11 to 20 of 2037 search results for This Final Notice refers to breaches.

  1. 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.
  2. 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.
  3. 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.
  4. 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
  5. 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.
  6. Final notice 2016: Lester Evans [pdf]

    Final notices Published: 15/04/2016 Last modified: 15/04/2016
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and cooperative and threshold conditions in the general insurance and protection sector. We imposed a cancellation.
  7. 2021 fines

    News stories Published: 04/03/2021 Last modified: 17/12/2021
    This page contains information about enforcement fines published during the calendar year ending 2021.
  8. Final notice 2016: Mark Thorogood [pdf]

    Final notices Published: 12/01/2016 Last modified: 12/01/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety and mortgage fraud in the mortgages sector. We imposed a refusal.
  9. Final notice 2016: Ashbank Cars [pdf]

    Final notices Published: 02/06/2016 Last modified: 02/06/2016
    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.
  10. 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