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Showing 11 to 20 of 2103 search results for final notice refers to breaches.
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Final Notice 2024: Floris Jakobus Huisamen [pdf]
This Final Notice refers to breaches of CoBS related to financial promotions in the Issuer sector. We -
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 2015: Asia Resource Minerals plc (formerly Bumi plc) [pdf]
This final notice refers to breaches of LR and DTR related to listing rules breaches in the issuer sector. We imposed a fine. -
Final Notice 2017: Keep Sheffield Warm [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be -
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: Adrian Whitehurst [pdf]
This final notice refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. Final Notice: Adrian Whitehurst Conduct: Client money/assets; Lack of fitness/propriety -
Final Notice 2022: BGC Brokers LP, GFI Securities Limited and GFI Brokers Limited [pdf]
This Final Notice refers to breaches of Principle 3 of the FCA’s Principles for Businesses and Article 16(2) of the Market Abuse Regulation related to market protection and wholesale conduct in the Trading Firm sector. We imposed a financial -
Final Notice 2023: Mark Anthony Jensen [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
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. -
Final Notice 2023: David Nigel Lewis [pdf]
This Final Notice refers to breaches of Principles for Business 6 and 7 related to the provision of unsuitable pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £26,800 is being made to the FSCS.