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Showing 1 to 10 of 1270 search results for final notice refers to breaches of s.118.

  1. Final notice 2016: Gavin Breeze [pdf]

    Final notices Published: 15/07/2016 Last modified: 15/07/2016
    This final notice refers to breaches of s.118(2) and (3) Financial Services and Markets Act 2000 related to market abuse in the issuer sector. We imposed a fine, required restitution and a public censure.
  2. Final Notice 2017: Niall O’Kelly [pdf]

    Final notices Published: 07/04/2017
    This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition.
  3. Final Notice 2017: Lukhvir Thind [pdf]

    Final notices Published: 07/04/2017
    This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition.
  4. Final Notice 2017: Tesco plc [pdf]

    Final notices Published: 28/03/2017
    This final notice refers to breaches of s.118(7) related to market abuse in the issuer sector. We imposed a restitution.
  5. 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.
  6. Final Notice 2024: Igniter Pay UK Limited [pdf]

    Final notices Published: 21/03/2024
    This Final Notice refers to a failure to carry on payment service activities. We imposed a cancellation.  
  7. 2024 fines

    News stories Published: 25/03/2024 Last modified: 26/03/2024
    Enforcement fines published in 2024.
  8. 2019 fines

    News stories Published: 16/01/2019 Last modified: 20/01/2020
    This page contains information about enforcement fines published during the calendar year ending 2019.
  9. 2022 fines

    News stories Published: 28/02/2022 Last modified: 04/01/2023
    Enforcement fines published in 2022.
  10. 2020 fines

    News stories Published: 21/01/2020 Last modified: 02/12/2022
    This page contains information about enforcement fines published during the calendar year ending 2020.