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1. Final Notice 2022: Life Protection Centre Ltd [pdf]

   Final notices Published: 30/06/2022
   This final notice refers to a failure to satisfy SUP 11.4, to be open and cooperative (PRIN 11) in the Insurance Intermediary sector and FIT 2.2. We refused the individual’s application for authorisation.

2. Final Notice 2022: JLT Specialty Limited [pdf]

   Final notices Published: 22/06/2022
   This Final Notice (JLT Speciliaty Limited) refers to breaches of PRIN 3 related to anti-bribery and corruption and financial crime in the general insurance and protection sector. We imposed a financial penalty.

3. What we publish

   Last modified: 07/04/2022
   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.

4. FCA Final Notice to Finablr plc

   Statements Published: 25/02/2022 Last modified: 25/02/2022
   We have issued a Final Notice to the firm in accordance with section 390(1) of the Financial Services and Markets Act.

5. Market Watch 67

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

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. 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: 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.

9. 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.

10. 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.