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Showing 111 to 120 of 1090 search results for final notice refers to breaches of APER 6 related.
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Decision Notice: Stuart Malcolm Forsyth [pdf]
This Decision Notice refers to breaches of APER1 and FIT related to a lack of fitness/propriety in the insurance sector. Our view is that a prohibition and financial penalty should be imposed. -
Final notice 2016: Alan Whittington [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open -
FCA Final Notice 2013: Martin Peter Gwynn [pdf]
This final notice refers to breaches of FIT related to -
Final Notice 2016: Marlborough Isleworth Motors Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative -
Final Notice 2024: Floris Jakobus Huisamen [pdf]
This Final Notice refers to breaches of CoBS related to financial promotions in the Issuer sector. We -
Final Notice 2017: Keep Sheffield Warm [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be -
FCA Final Notice 2013: Kuya J’s Filipino Store Limited [pdf]
This Final Notice refers to breaches of PSR related to failing to be open and co-operative in the -
Final Notice 2019: Prindiville Plc [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in -
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. -
Final Notice 2020: Peter Howson [pdf]
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.