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Showing 61 to 70 of 4065 search results.
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Final Notice 2024: Philip Pryke [pdf]
This Final Notice (Philip Pryke) refers to breaches of APER 1 and FIT related to the provision of unsuitable pension transfer advice in the pensions sector. We imposed a prohibition and a financial penalty. -
Final Notice 2024: András Sebők [pdf]
This Final Notice refers to breaches of the Market Abuse Regulations by a PDMR for trading during closed periods and for trade disclosure failings. -
Final Notice 2024: Travis Lloyd Klein [pdf]
This Final Notice (Travis Lloyd Klein) refers to breaches of COCON (ICR1) and FIT related to failing to act with integrity and a lack of fitness/propriety in the investment bank sector. We imposed a prohibition and public censure. A financial -
Final Notice 2024: Macquarie Bank Limited, London Branch [pdf]
This Final Notice (Macquarie Bank Limited, London Branch (MBL)) refers to breach of PRIN 3 related to wholesale conduct in the investment bank sector. We imposed a financial penalty of £13,031,400. -
Final Notice 2024: Barclays plc [pdf]
This Final Notice refers to breaches of listing rules relating to failure to disclose information in the issuer sector. We imposed a financial penalty. -
Final Notice 2024: Barclays Bank plc [pdf]
This Final Notice refers to breaches of listing rules relating to failure to disclose information in the issuer sector. We imposed a financial penalty. -
Final Notice 2024: Ari Harris [pdf]
This Final Notice (Ari Harris) refers to breaches of FIT related to a lack of fitness/propriety. We imposed a prohibition and withdrawal of approval. -
Final Notice 2024: Reeds Motors Ltd [pdf]
This Final Notice (Reeds Motors Ltd) refers to breaches of COND. We imposed a cancellation of Part 4A permissions. -
Final Notice 2024: Craig Buchan [pdf]
This Final Notice (Craig Buchan) refers to breaches of COCON 2.2.1R related to failing to act with integrity in the Investment Adviser sector. We imposed a financial penalty and prohibition. -
Final Notice 2024: Martin Paul Cooke [pdf]
This Final Notice (Martin Paul Cooke) refers to breaches of COCON 2.2.1R related to failing to act with integrity in the Investment Adviser sector. We imposed a financial penalty and prohibition.