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Showing 1 to 10 of 303 search results for Final Notice refers to breaches of the Conduct of Authorised.

1. 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.

2. 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.

3. Final Notice 2020: Hall and Hanley Limited (HHL) [pdf]

   Final notices Published: 21/01/2020
   This Final Notice refers to breaches of the Conduct of Authorised Persons Rules 2014 (“CAPR”) in relation to misleading consumers to claims and unfair treatment of consumers in the claims management sector. We imposed a financial penalty.

4. 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.

5. 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.

6. Final Notice 2021: Crosfill & Archer Claims Limited [pdf]

   Final notices Published: 28/06/2021
   This Final Notice refers to breaches of breach of the Conduct of Authorised Persons Rules 2014 (“CAPR”) related to unfair treatment of customers in the claims management sector. We imposed a financial penalty.

7. Final Notice 2024: Link Fund Solutions Limited [pdf]

   Final notices Published: 11/04/2024
   This Final Notice refers to a failure by Link Fund Solutions Limited to act with due skill, care and diligence in carrying out its role as Authorised Corporate Director of the Woodford Equity Income Fund. We imposed a requirement to pay restitution

8. Upper Tribunal publishes decision on Linear Investments Limited in relation to penalty imposed by FCA

   Press Releases Published: 10/04/2019 Last modified: 10/04/2019
   The Upper Tribunal has published its decision on the reference made by Linear Investments Limited (Linear) in relation to the penalty imposed by the Financial Conduct Authority (FCA).

9. Variation of permission

   Tasks for regulated firms Published: 11/05/2015 Last modified: 16/12/2022
   If your firm wants to change or add to its regulated activities, find out how you can apply to us for a variation of permission (VoP).

10. 2018 Disclosure Log

    Last modified: 14/09/2020
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2018.