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Showing 11 to 20 of 1263 search results for This final notice refers to breaches of s.118.

11. Final notice 2016: Alan Whittington [pdf]

    Final notices Published: 25/02/2016 Last modified: 25/02/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open

12. 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

13. Final Notice 2024: Floris Jakobus Huisamen [pdf]

    Final notices Published: 13/02/2024
    This Final Notice refers to breaches of CoBS related to financial promotions in the Issuer sector. We

14. Final Notice 2016: Marlborough Isleworth Motors Limited [pdf]

    Final notices Published: 21/11/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative

15. Final Notice 2020: Peter Howson [pdf]

    Final notices Published: 12/10/2020 Last modified: 12/10/2020
    This Final Notice (Peter Anthony Hoswon) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.

16. Final Notice 2017: Keep Sheffield Warm [pdf]

    Final notices Published: 06/10/2017
    This final notice refers to breaches of PRIN 11 related to failing to be

17. FCA Final Notice 2013: Kuya J’s Filipino Store Limited [pdf]

    Final notices Published: 02/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PSR related to failing to be open and co-operative in the

18. Final Notice 2022: Stuart Rea [pdf]

    Final notices Published: 28/04/2022
    This Final Notice (Stuart Rea) refers to breaches of FIT. We imposed a prohibition.

19. Final Notice 2015: Asia Resource Minerals plc (formerly Bumi plc) [pdf]

    Final notices Published: 17/06/2015 Last modified: 17/06/2015
    This final notice refers to breaches of LR and DTR related to listing rules breaches in the issuer sector. We imposed a fine.

20. Final Notice 2019: Prindiville Plc [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