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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. -
FCA Final Notice to Finablr plc
We have issued a Final Notice to the firm in accordance with section 390(1) of the Financial Services and Markets Act. -
Market Watch 67
Newsletter on market conduct and transaction reporting issues. -
FSA Final Notice 2009: Mr Ayodele Olubunmi Thomas [pdf]
FSA Final Notice 2009: Mr Ayodele Olubunmi Thomas -
FCA Final Notice 2014: The Royal Bank of Scotland Plc [pdf]
This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine. -
FCA Final Notice 2014: JPMorgan Chase Bank N.A. [pdf]
This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine. -
FCA Final Notice 2014: UBS AG [pdf]
This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine. -
FCA Final Notice 2013: Independent Asset Management U.K. Limited [pdf]
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. -
Final Notice 2015: John Joseph Financial Services Limited [pdf]
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. -
FCA Final Notice 2014: HSBC Bank Plc [pdf]
This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.