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Showing 1 to 10 of 1285 search results for final notice refers to breaches of MAR.

1. 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.

2. 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.

3. FCA Final Notice 2014: Mark Stevenson [pdf]

   Final notices Published: 20/03/2014 Last modified: 07/04/2015
   This final notice refers to breaches of MAR related to market abuse in the investment banks sector. We imposed a fine and prohibition.

4. Final Notice 2015: Kenneth George Carver [pdf]

   Final notices Published: 30/03/2015 Last modified: 30/03/2015
   This final notice refers to breaches of MAR related to market abuse in the issuer sector. We imposed a fine.

5. FCA Final Notice 2014: 7722656 Canada Inc formerly carrying on business as Swift Trade Inc [pdf]

   Final notices Published: 24/01/2014 Last modified: 07/04/2015
   This final notice refers to breaches of MAR related to market abuse in the trading firms sector. We imposed a fine.

6. Final Notice 2021: Mr Adrian Horn [pdf]

   Final notices Published: 04/03/2021
   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.

7. FCA Final Notice 2014: Ian Charles Hannam [pdf]

   Final notices Published: 22/07/2014 Last modified: 07/04/2015
   This final notice refers to breaches of MAR related to market abuse in the investment banks sector. We imposed a fine.

8. 2021 fines

   News stories Published: 04/03/2021 Last modified: 17/12/2021
   This page contains information about enforcement fines published during the calendar year ending 2021.

9. 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.

10. 2022 fines

    News stories Published: 28/02/2022 Last modified: 04/01/2023
    Enforcement fines published in 2022.