Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 41 to 50 of 1286 search results for final notice refers to breaches of MAR.

  1. 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.

  2. Final Notice 2023: Mark Anthony Jensen [pdf]

    Final notices Published: 13/11/2023
    This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  3. 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.

  4. Final notice 2016: Cenkos Securities Plc [pdf]

    Final notices Published: 09/08/2016 Last modified: 09/08/2016
    This final notice refers to listing rules breaches in the sponsor sector. We imposed a fine.

  5. Final Notice 2020: Aviva plc [pdf]

    Final notices Published: 26/10/2020
    This Final Notice (Aviva plc) refers to breaches of Listing Rule 1.3.3R and Transparency Rule 1A.3.2R related to Listing rules/DTR breaches in the General Insurance and Protection sector. We issued a public censure. File updated with accessibility

  6. Final Notice 2022: Hugh Edwards [pdf]

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

  7. Final Notice 2024: William Hofstetter [pdf]

    Final notices Published: 11/03/2024
    This Final Notice (William Hofstetter) refers to a breach of APER Statement of Principle 7 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition. It has been agreed

  8. Final Notice 2022: Jeanine Lewis [pdf]

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

  9. Final Notice 2020: Nicholas Anderton [pdf]

    Final notices Published: 21/05/2020
    This final notice (Nicholas Anderton) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  10. 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
Related topics