Showing 1 to 10 of 3634 search results.

1. Final Notice 2021: Triton Insurance Brokers Ltd [pdf]

   Final notices Published: 19/01/2021
   This final notice refers to a firm no longer having any regulated activities in its permission, in the designated investment business and insurance business sector. We imposed a cancellation.

2. Voluntary Application for the Imposition of Requirements: Tokio Marine Kiln Insurance Limited and Tokio Marine Kiln Syndicates Limited [pdf]

   Requirement notices Published: 14/01/2021
   Imposition of new requirements pursuant to Section 55l(5) and Section 55m(5) of the Financial Services and Markets Act 2000

3. Final Notice 2021: Garrick Financial Services Ltd [pdf]

   Final notices Published: 11/01/2021
   This Final Notice refers to a failure to satisfy threshold conditions (COND) in the claims management sector. We refused the firm’s application for authorisation.

4. Final Notice 2020: All Accident Claims Limited [pdf]

   Final notices Published: 08/01/2021
   This Final Notice refers to a failure to satisfy threshold conditions (COND) in the claims management sector. We refused the firm’s application for authorisation.

5. Final Notice 2020: GM Supplies (Cumbria) Limited [pdf]

   Final notices Published: 22/12/2020
   This final notice refers to a failure to satisfy the suitability threshold condition (COND), the appropriate resources threshold condition (COND) and the failure to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector.

6. Final Notice 2020: Charles Schwab UK Limited [pdf]

   Final notices Published: 21/12/2020
   This Decision Notice / Final Notice refers to breaches of PRIN 10 and 11, CASS and Section 20 FSMA related to failing to be open and co-operative, client money/assets and failing to operate in accordance with permission in the Wealth Management and

7. Final Notice 2020: Blue Gate Capital Limited [pdf]

   Final notices Published: 18/12/2020
   This Final Notice (Blue Gate Capital Limited) refers to breaches of PRIN 2 and PRIN 7 related to financial promotions in the asset management sector. We imposed a requirement to pay restitution and a public censure.

8. Final Notice 2020: Barclays [pdf]

   Final notices Published: 15/12/2020
   This Final Notice (Barclays) refers to breaches of PRIN 6, PRIN 3, and CONC related to unfair treatment of customers in the Retail Banking sector. We imposed a financial penalty.

9. Final Notice 2020: Corrado Abbattista [pdf]

   Final notices Published: 15/12/2020
   This Final Notice refers to breaches of FIT and MAR related to market abuse in the trading firm sector. We imposed a prohibition and financial penalty.

10. Consolidated list of waivers, modifications and CRR permissions granted [xlsx]

    Waivers and CRR notices Published: 14/12/2020 Last modified: 14/12/2020
    Consolidated list of waivers, modifications and CRR Permissions