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Showing 141 to 150 of 5231 search results for final%20notice.
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Final Notice 2023: Susan Mary Jones [pdf]
This Final Notice refers to breaches of Principles for Business 2 related to the provision of unsuitable pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £40,888 is being made to the FSCS. -
FCA bans Nigel Lewis and Susan Jones for incompetent British Steel Pension Scheme advice
The Financial Conduct Authority (FCA) has banned Nigel Lewis and Susan Jones of West Wales Financial Services Limited (in liquidation) (WWFS) from advising customers on pension transfers and pension opt outs. Mr Lewis has also been banned from -
Final Notice 2023: NMC Health Plc (in Administration) [pdf]
This Final Notice refers to breaches of Article 15 EU MAR related to disseminating false and misleading information regarding NMC’s debt positions. We publish a public censure. -
FCA censures NMC Health Plc (in Administration) for market abuse
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FCA finds further work required to fully embed ‘Guiding Principles’ for ESG and sustainable investment funds
A review by the FCA has found that while most Authorised Fund Managers (AFMs) have made efforts to comply with the FCA’s expectations on the design, delivery, and disclosure of their ESG and sustainable funds, further improvement is needed. -
Testing how Authorised Fund Managers are embedding the Guiding Principles in ESG and sustainable investment funds
We set out findings from our supervisory work that looked at how authorised fund managers (AFMs) comply with existing regulatory requirements and expectations on the design, delivery and disclosure of Environmental, Social and Governance (ESG) and -
Apply to become a mortgage broker
Find out what permissions you'll need to apply to the FCA for authorisation, and what the FCA expects to see in your application. -
Apply to become a consumer credit broker
Find out how to apply to the FCA for authorisation if you want to engage in regulated activities as a consumer credit broker. -
Apply to become a consumer credit lender or hirer
Find out how to apply to the FCA for authorisation If you want to engage in regulated activities as a lender or hirer. -
Final Notice 2023: Ray Alan Davis [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the General Insurance and Protection sector. We imposed a prohibition.