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Showing 21 to 30 of 2062 search results for This Final Notice refers to breaches.

  1. Final Notice 2019: Vale Veterinary Group [pdf]

    Final notices Published: 25/07/2019
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in

  2. 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

  3. Final Notice 2015: Leadgen (UK) Limited [pdf]

    Final notices Published: 26/01/2015 Last modified: 26/01/2015
    This final notice refers to breaches of Principle 11 related to threshold conditions breaches in the consumer credit sector. We imposed a cancellation.

  4. Final Notice 2017: Eastern Union Remittance and Exchange Limited [pdf]

    Final notices Published: 30/08/2017
    This final notice refers to breaches of Principle 11 related to failing to be open and

  5. FCA Final Notice 2014: Deutsche Bank AG (“Deutsche”) [pdf]

    Final notices Published: 28/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of SUP 17 related to transaction reporting in the investment bank sector. We imposed a fine.

  6. 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.

  7. Final Notice 2019: Wedgwood Vehicle Solutions Limited [pdf]

    Final notices Published: 25/07/2019
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in

  8. Final Notice 2023: NMC Health Plc (in Administration) [pdf]

    Final notices Published: 17/11/2023
    This Final Notice refers to breaches of Article 15 EU MAR related to disseminating false and misleading information regarding NMC’s debt positions. We publish a public censure.

  9. 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.

  10. Final Notice 2015: Reckitt Benckiser Group Plc [pdf]

    Final notices Published: 20/01/2015 Last modified: 20/01/2015
    This final notice refers to breaches of LR and DTR related to listing rules breaches in the issuer sector. We imposed a financial penalty.
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