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Showing 51 to 60 of 1286 search results for final notice refers to breaches of MAR.

51. Final notice 2016: Pacific Continental Securities (UK) Limited (In Liquidation) [pdf]

    Final notices Published: 15/03/2016 Last modified: 17/03/2016
    This final notice refers to breaches of Prin 4, Cond and IPRU-INV related to threshold conditions in the investment advisor sector. We imposed a cancellation.

52. Final Notice 2024: Fast Remit Limited [pdf]

    Final notices Published: 21/03/2024
    This final notice refers to breaches of PSR related to failing to be open and co-operative and payment services regulations in the payment services sector. We imposed a cancellation.

53. Final Notice 2015: Alina Business & Financial Services Limited [pdf]

    Final notices Published: 14/01/2015 Last modified: 14/01/2015
    This final notice refers to breaches of PSR related to the Payment Services Regulations in the payment services sector. We imposed a cancellation.

54. Final Notice 2015: Asia Resource Minerals plc (formerly Bumi plc) [pdf]

    Final notices Published: 17/06/2015 Last modified: 17/06/2015
    This final notice refers to breaches of LR and DTR related to listing rules breaches in the issuer sector. We imposed a fine.

55. Final Notice 2022: Charanjit Sandhu [pdf]

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

56. 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.

57. FCA Final Notice 2013: Policy Administration Services Limited [pdf]

    Final notices Published: 03/07/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and 6 related to complaints-handling, and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

58. Final Notice 2023: Susan Mary Jones [pdf]

    Final notices Published: 27/11/2023
    This Final Notice refers to breaches of Principles for Business 2 related to the provision of unsuitable pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £40,888 is being made to the FSCS.

59. Final Notice 2022: Ashkan Zahedian [pdf]

    Final notices Published: 08/11/2022
    This Final Notice (Ashkan Zahedian) refers to a failure to satisfy the Fit and Proper Test (FIT). We imposed a prohibition.

60. FCA Final Notice 2014: Sesame Limited [pdf]

    Final notices Published: 29/10/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 8 and COBS related to conflicts of interest in the life insurance and investment adviser sector. We imposed a fine.