Search results

Showing 1 to 10 of 5848 search results for final notice.

1. What we publish

   Last modified: 15/07/2021
   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 2022: Capital Investements Limited [pdf]

   Final notices Published: 19/01/2022
   This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation.

3. Market Watch 67

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

4. 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.

5. Final Notice 2022: Paul Seakens [pdf]

   Final notices Published: 14/01/2022
   This Final Notice refers to breaches of FIT by an investment platform operator. We imposed a prohibition.

6. 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

7. Final Notice 2022: Reece Klewchuck [pdf]

   Final notices Published: 18/01/2022
   This final notice refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation.

8. 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.

9. 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.

10. 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.