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  1. Insurance: Conduct of Business (ICOB) [pdf]

    Waivers and CRR notices Published: 16/01/2020 Last modified: 16/01/2020
    Waivers Insurance: Conduct of Business (ICOB) - Sourcebook or manual to which waivers of rules apply
  2. Prudential Sourcebook for Banks, Building Societies and Investment Firms (BIPRU) [pdf]

    Waivers and CRR notices Published: 16/01/2020 Last modified: 04/09/2019
    Waivers Prudential Sourcebook for Banks, Building Societies and Investment Firms (BIPRU) - Sourcebook or manual to which waivers of rules apply
  3. Prudential sourcebook for Mortgage and Home Finance Firms, and Insurance Intermediaries (MIPRU) [pdf]

    Waivers and CRR notices Published: 16/01/2020 Last modified: 16/01/2020
    Prudential sourcebook for Mortgage and Home Finance Firms, and Insurance Intermediaries (MIPRU) - Sourcebook or manual to which waivers of rules apply
  4. Final Notice 2019: Rodney Brown [pdf]

    Final notices Published: 10/01/2020
    This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.
  5. Final Notice 2019: Shaun Rowe [pdf]

    Final notices Published: 09/01/2020
    This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.
  6. Final Notice 2019: Connect Business Ltd [pdf]

    Final notices Published: 09/01/2020
    This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.
  7. Final Notice 2019: Kevin Gorman [pdf]

    Final notices Published: 20/12/2019
    This Final Notice refers to breaches of Article 19(1) of MAR related to failing to notify trading in shares to their issuer and the FCA as a PDMR in the issuer sector. We imposed a financial penalty.
  8. Final notice 2019: Professional Personal Claims Limited (PPC) [pdf]

    Final notices Published: 17/12/2019
    This final notice refers to breaches of the Conduct of Authorised Persons Rules 2014 in relation to misleading consumers to claims in the claims management companies sector. We imposed a financial penalty.
  9. Final Notice 2019: Alonso Lopez [pdf]

    Final notices Published: 12/12/2019
    This final notice (Alonso Lopez) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.
  10. Final Notice 2019: Wesley Mckeever [pdf]

    Final notices Published: 06/12/2019
    This final notice (Wesley Mckeever) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.