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Showing 31 to 40 of 1270 search results for final notice refers to breaches of s.118.

  1. 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.
  2. 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.
  3. 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.
  4. 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.
  5. 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.
  6. 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.
  7. 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.
  8. 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.
  9. 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.
  10. Final Notice 2017: Keep Sheffield Warm [pdf]

    Final notices Published: 06/10/2017
    This final notice refers to breaches of PRIN 11 related to failing to be