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Showing 61 to 70 of 1062 search results for This final notice refers to breaches of MAR related.
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2024 fines
Enforcement fines published in 2024. -
Final Notice 2020: Jarnail Singh Basran [pdf]
This final notice (Jarnail Singh Basran) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2020: Kirt Blackburn [pdf]
This final notice (Kirt Blackburn) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2023: Al Rayan Bank PLC [pdf]
This Final Notice refers to breaches of Principle 3 related to Financial Crime in the Retail Bank sector. We imposed a Financial Penalty. -
Final Notice 2022: Barclays Bank plc [pdf]
This Final Notice (Barlclays Bank plc) refers to breaches of PRIN 2 related to financial crime in the corporate banking sector. We imposed a financial penalty. -
Final Notice 2021: Omar Hussein [pdf]
This Final Notice refers to breaches of APER 1 and 7 related to failing to act with integrity and failing to demonstrate that suitable advice was given in the pensions sector. We imposed a financial penalty, withdrawal and prohibition. -
Final notice 2016: Quick Pay Forex Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative and payment services regulations in the payment services sector. We imposed a cancellation. -
Final Notice 2023: Christopher Vincent Summers [pdf]
This Final Notice (Christopher Vincent Summers) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2022: Aiden Henderson [pdf]
This Final Notice (Aiden Henderson) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. We imposed a prohibition and financial penalty. -
Final Notice 2015: Alina Business & Financial Services Limited [pdf]
This final notice refers to breaches of PSR related to the Payment Services Regulations in the payment services sector. We imposed a cancellation.