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Showing 1 to 10 of 5530 search results for final notice.

  1. What we publish

    Last modified: 10/09/2020
    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. Business interruption insurance

    Firms Published: 14/05/2020 Last modified: 22/01/2021
    Find out how we are seeking legal clarity on business interruption (BI) insurance during the coronavirus (Covid-19) crisis.
  3. Redacted Final Notice: 2008 [pdf]

    Final notices Published: 14/10/2008
    Redacted Final Notice: 2008
  4. 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
  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 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.
  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 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.
  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.