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Showing 1 to 10 of 1286 search results for final notice refers to breaches of MAR.
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Final Notice 2013: Michael Coscia [pdf]
This final notice refers to breaches of MAR related to market abuse in the trading frims sector. We imposed a fine. -
FCA Final Notice 2013: Mr Rahul Shah [pdf]
This final notice refers to breaches of MAR related to market abuse in the investment adviser sector. We imposed a fine and prohibition. -
FCA Final Notice 2014: Mark Stevenson [pdf]
This final notice refers to breaches of MAR related to market abuse in the investment banks sector. We imposed a fine and prohibition. -
Final Notice 2015: Kenneth George Carver [pdf]
This final notice refers to breaches of MAR related to market abuse in the issuer sector. We imposed a fine. -
FCA Final Notice 2014: 7722656 Canada Inc formerly carrying on business as Swift Trade Inc [pdf]
This final notice refers to breaches of MAR related to market abuse in the trading firms sector. We imposed a fine. -
Final Notice 2021: Mr Adrian Horn [pdf]
The Final Notice refers to breaches of MAR and FIT relating to Market Abuse in the Trading Firm sector. We imposed a Financial Penalty and Prohibition. -
FCA Final Notice 2014: Ian Charles Hannam [pdf]
This final notice refers to breaches of MAR related to market abuse in the investment banks sector. We imposed a fine. -
2021 fines
This page contains information about enforcement fines published during the calendar year ending 2021. -
Final Notice 2023: NMC Health Plc (in Administration) [pdf]
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. -
2020 fines
This page contains information about enforcement fines published during the calendar year ending 2020.