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Showing 91 to 100 of 5196 search results for final%20notice.

  1. Apply to become a mortgage broker

    Firm authorisation Published: 15/11/2023 Last modified: 15/11/2023
    Find out what permissions you'll need to apply to the FCA for authorisation, and what the FCA expects to see in your application.
  2. FSA Application Refusal 2010: GRO Risk Solutions LTD - Individual final notice [pdf]

    Final notices Published: 09/03/2010 Last modified: 14/06/2014
    FSA Application Refusal 2010: GRO Risk Solutions LTD - Individual final notice
  3. 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.
  4. 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.
  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 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.
  7. 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.
  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. Financial Advice Market Review: final report [pdf]

    Corporate documents Published: 14/03/2016 Last modified: 14/03/2016
    This report presents a series of measures aimed at stimulating the development of a market that provides affordable and accessible financial advice and guidance for everyone, at all stages of their lives. It also contains proposals designed to
  10. Consumer Duty

    Focus areas Last modified: 21/02/2024
    Our Consumer Duty sets higher and clearer standards of consumer protection across financial services and requires firms to put their customers’ needs first