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Showing 161 to 170 of 5215 search results for final%20notice.
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Final Notice 2019: Kevin Hart [pdf]
This final notice (Kevin Hart) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation. -
Final Notice 2019: Terry John Farr [pdf]
This final notice (Terry John Farr) refers to breaches of FIT related to lack of fitness/propriety and wholesale conduct in the trading firm sector. We imposed a prohibition. -
Final Notice 2019: Leon Caush [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation. -
Final notice 2016: Amir Khan [pdf]
This final notice refers to breaches of APER 1 and APER 6 related to mortgage fraud in the mortgages sector. We imposed a prohibition and public censure. -
Impact assessment: Strengthening accountability in banking and insurance: regulatory reference final rules (PS16/22) [pdf]
This impact assessment relates to Strengthening accountability in banking and insurance: regulatory reference final rules (PS16/22) . It has been verified by the Regulatory Policy Committee. -
Artificial Intelligence Public-Private Forum
Financial Services AI Public Private Forum - Call for EOI -
Final Notice 2022: Thomas Henry Ward [pdf]
This Final Notice (Thomas Henry Ward) refers to breaches of section 63A FSMA and FIT related to a lack of fitness/propriety in the investment adviser and pensions sector. We imposed a prohibition and financial penalty. -
Final Notice 2018: Gabor Nagy [pdf]
This final notice (Gabor Nagy) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation. -
AIFMD
The Alternative Investment Fund Managers Regulations (UK AIFMD) provide a regulatory framework for alternative investment fund managers (AIFMs). Find out about the requirements. -
UK SFTR news
Read FCA news updates on the UK Securities Financing Transactions Regulation (UK SFTR).