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Showing 31 to 40 of 1263 search results for This final notice refers to breaches of s.118.

31. 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.

32. 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

33. 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.

34. 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.

35. 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.

36. Final Notice 2020: Simon Charles Oakley [pdf]

    Final notices Published: 21/09/2020 Last modified: 21/09/2020
    This Final Notice (Simon Charles Oakley) refers to breaches of FIT by a financial adviser. We imposed a prohibition.”

37. Final Notice 2021: Colin Bermingham [pdf]

    Final notices Published: 01/11/2021
    This Final Notice (Colin Bermingham) refers to breaches of FIT related to Lack of fitness/propriety in the Investment Banking. We imposed a prohibition.

38. Final Notice 2023: Equifax Limited [pdf]

    Final notices Published: 13/10/2023
    This Final Notice relates to the outsourcing of data processing to an intragroup entity which experienced a data breach. The Final Notice refers to risk management failings (Principle 3) and failings in relation to treating customers fairly and

39. 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.

40. 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