Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 2761 to 2770 of 3282 search results for This Final Notice refers.

  1. Decision Notice 2021: Geoffrey Edward Armin [pdf]

    Decision notices Published: 09/08/2021
    This decision notice (Geoffrey Edward Armin) refers to breaches of APER 2, APER 7, FIT and COBS related to failing to demonstrate that suitable advice was given in the investment adviser and pensions sector. Our view is that a financial penalty and

  2. Unfair contract terms library

    Tasks for firms Published: 03/08/2015 Last modified: 09/05/2024
    The FCA's work on unfair contract terms including past undertakings, agreements and other publications.

  3. First Supervisory Notice 2019: SVS Securities Plc [pdf]

    Supervisory notices Published: 08/08/2019
    This first supervisory notice refers to a failure to satisfy the suitability and appropriate resources threshold conditions (COND) and to breaches of SYSC, PROD and PRIN. We imposed requirements on the firm.

  4. Decision Notice 2018: One Call Insurance Services Limited [pdf]

    Decision notices Published: 26/01/2018
    This decision notice refers to breaches of PRIN 10 and CASS related to client money/assets in the general insurance and protection sector. Our view is that a fine and restriction should be imposed.

  5. Decision Notice: Stuart Malcolm Forsyth [pdf]

    Decision notices Published: 18/11/2019
    This Decision Notice refers to breaches of APER1 and FIT related to a lack of fitness/propriety in the insurance sector. Our view is that a prohibition and financial penalty should be imposed.

  6. Settlement and mediation in enforcement cases

    How we operate Published: 22/04/2016 Last modified: 22/10/2021
    Agreeing to settle with the FCA is not the same as an out-of-court settlement in the commercial sense. An FCA settlement is a regulatory decision taken by us, the terms of which are accepted by the firm or individual concerned.

  7. Cash savings market study

    Market studies Published: 20/01/2015 Last modified: 01/12/2016
    In January 2015, we published the final findings of our cash savings market study and our proposed remedies. The findings set out our conclusions on the effectiveness of competition in the cash savings market. Our remedies set out how we intended to

  8. LF Woodford Equity Income Fund investigation

    News stories Published: 28/05/2021 Last modified: 14/10/2022
    We set out our public statements on the investigation into the circumstances relating to the suspension of the LF Woodford Equity Income fund

  9. FSA data items FAQs

    Published: 09/05/2016 Last modified: 19/05/2023
    On this page we provide guidance and information for firms on how to complete FSA reports.

  10. Notice of Decision 2024: Shelter Housing Advice and Research Project (Leicester) Ltd. [pdf]

    Decision notices Published: 16/01/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.
Related topics