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Showing 1 to 10 of 1062 search results for This final notice refers to breaches of MAR related.

1. Final Notice 2013: Michael Coscia [pdf]

   Final notices Published: 03/07/2013 Last modified: 07/04/2015
   This final notice refers to breaches of MAR related to market abuse in the trading frims sector. We imposed a fine.

2. FCA Final Notice 2013: Mr Rahul Shah [pdf]

   Final notices Published: 13/11/2013 Last modified: 07/04/2015
   This final notice refers to breaches of MAR related to market abuse in the investment adviser sector. We imposed a fine and prohibition.

3. FCA Final Notice 2014: Mark Stevenson [pdf]

   Final notices Published: 20/03/2014 Last modified: 07/04/2015
   This final notice refers to breaches of MAR related to market abuse in the investment banks sector. We imposed a fine and prohibition.

4. FCA Final Notice 2014: Ian Charles Hannam [pdf]

   Final notices Published: 22/07/2014 Last modified: 07/04/2015
   This final notice refers to breaches of MAR related to market abuse in the investment banks sector. We imposed a fine.

5. Final Notice 2015: Kenneth George Carver [pdf]

   Final notices Published: 30/03/2015 Last modified: 30/03/2015
   This final notice refers to breaches of MAR related to market abuse in the issuer sector. We imposed a fine.

6. FCA Final Notice 2014: 7722656 Canada Inc formerly carrying on business as Swift Trade Inc [pdf]

   Final notices Published: 24/01/2014 Last modified: 07/04/2015
   This final notice refers to breaches of MAR related to market abuse in the trading firms sector. We imposed a fine.

7. 2020 fines

   News stories Published: 21/01/2020 Last modified: 02/12/2022
   This page contains information about enforcement fines published during the calendar year ending 2020.

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. 2019 fines

   News stories Published: 16/01/2019 Last modified: 20/01/2020
   This page contains information about enforcement fines published during the calendar year ending 2019.

10. Final Notice 2019: Kevin Gorman [pdf]

    Final notices Published: 20/12/2019
    This Final Notice refers to breaches of Article 19(1) of MAR related to failing to notify trading in shares to their issuer and the FCA as a PDMR in the issuer sector. We imposed a financial penalty.