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Showing 91 to 100 of 5196 search results for final%20notice.
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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. -
FSA Application Refusal 2010: GRO Risk Solutions LTD - Individual final notice [pdf]
FSA Application Refusal 2010: GRO Risk Solutions LTD - Individual final notice -
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. -
Financial Advice Market Review: final report [pdf]
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 -
Consumer Duty
Our Consumer Duty sets higher and clearer standards of consumer protection across financial services and requires firms to put their customers’ needs first