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1. Final Notice 2024: Paydog Ltd [pdf]

   Final notices Published: 23/04/2024
   This Final Notice refers to a failure to carry on payment service activities. We imposed a cancellation.  

2. FCA Final Notice 2014: UBS AG [pdf]

   Final notices Published: 12/11/2014 Last modified: 07/04/2015
   This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

3. FCA Final Notice 2014: The Royal Bank of Scotland Plc [pdf]

   Final notices Published: 12/11/2014 Last modified: 07/04/2015
   This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

4. FCA Final Notice 2014: JPMorgan Chase Bank N.A. [pdf]

   Final notices Published: 12/11/2014 Last modified: 07/04/2015
   This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

5. FCA Final Notice 2013: Independent Asset Management U.K. Limited [pdf]

   Final notices Published: 04/09/2013 Last modified: 07/04/2015
   This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a OIVOP and a cancellation.

6. Final Notice 2015: John Joseph Financial Services Limited [pdf]

   Final notices Published: 30/09/2015 Last modified: 06/10/2015
   This final notice refers to breaches of PRIN 9, SYSC, COB and COBS related to mis-selling in the investment adviser sector. We imposed a fine.

7. FCA Final Notice 2014: HSBC Bank Plc [pdf]

   Final notices Published: 12/11/2014 Last modified: 07/04/2015
   This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

8. Final Notice 2015: Craig McNeil [pdf]

   Final notices Published: 22/09/2015 Last modified: 29/09/2015
   This final notice refers to breaches of APER 4 and APER 6, FIT, failing to be open and co-operative, lack of fitness/propriety and failing to act on information appropriately in the asset management sector. We imposed a fine and prohibition.

9. Final Notice 2022: Robert Ward [pdf]

   Final notices Published: 17/05/2022
   This Final Notice (Robert Ward) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a prohibition and financial

10. Final Notice 2015: Quick Purchase [pdf]

    Final notices Published: 23/10/2015 Last modified: 23/10/2015
    This Final Notice refers to breaches of PRIN 6 and MCOB (Mortgage Conduct of Business Rules) related to unfair treatment of customers in the sale and rent back sector. We imposed a fine and redress.