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Showing 1 to 10 of 1263 search results for This final notice refers to breaches of s.118.
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Final notice 2016: Gavin Breeze [pdf]
This final notice refers to breaches of s.118(2) and (3) Financial Services and Markets Act 2000 related to market abuse in the issuer sector. We imposed a fine, required restitution and a public censure. -
Final Notice 2017: Niall O’Kelly [pdf]
This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition. -
Final Notice 2017: Lukhvir Thind [pdf]
This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition. -
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. -
2019 fines
This page contains information about enforcement fines published during the calendar year ending 2019. -
2022 fines
Enforcement fines published in 2022. -
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.