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1. What we publish

   Last modified: 26/04/2021
   We publish a wide range of publications: consultations, policy papers, decision-making documents, research and other useful information. Find out more about the types of documents available.

2. Final Notice 2021: Ian Berry (trading as Motorland) [pdf]

   Final notices Published: 11/06/2021
   This final notice (Ian Berry (trading as Motorland)) refers to a failure to satisfy the Suitability Threshold Condition (COND) and a failure to notify the Authority of a change of contact details in the consumer credit sector. We imposed a

3. Market Watch 67

   Newsletters Published: 28/05/2021 Last modified: 28/05/2021
   Newsletter on market conduct and transaction reporting issues.

4. 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.

5. 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.

6. 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.

7. 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.

8. FSA Final Notice 2009: Mr Ayodele Olubunmi Thomas [pdf]

   Final notices Published: 02/10/2009 Last modified: 14/06/2014
   FSA Final Notice 2009: Mr Ayodele Olubunmi Thomas

9. 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.

10. 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.