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Final Notice 2020: Charles Schwab UK Limited [pdf]
This Decision Notice / Final Notice refers to breaches of PRIN 10 and 11, CASS and Section 20 FSMA related to failing to be open and co-operative, client money/assets and failing to operate in accordance with permission in the Wealth Management and -
Case concerning CEO referred to the Upper Tribunal
The FCA’s decision is set out in the decision notice which is published today. ... The decision notice for Mr Charles Anthony Llewellen Palmer. The final notice for Ms Paivi Katriina Grigg. -
Knowledge Base
The Knowledge Base is our source of technical guidance on our Listing Rules, Prospectus Regulation Rules and Disclosure and Transparency Rules. -
2013 fines
Fines published during the calendar year ending December 2013. -
Final Notice 2018: Easy Buy Cars (NE) Ltd [pdf]
This FCA final notice (Easy Buy Cars (NE) Ltd) 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 2018: The Big Car Supermarket Limited [pdf]
This FCA final notice (The Big Car Supermarket Limited) 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 2020: Lloyds Bank plc, Bank of Scotland plc, and The Mortgage Business plc [pdf]
This Final Notice (Lloyds Bank plc, Bank of Scotland plc, and The Mortgage Business plc) refers to breaches of PRIN 3 and PRIN 6 related to the unfair treatment of customers in the mortgages sector. We imposed a financial penalty. -
British Steel Pension Scheme – our approach to enforcement
Read about the FCA's investigations into firms and individuals who provided unsuitable advice to consumers to transfer out of the British Steel Pension Scheme (BSPS), as well as other defined benefit (DB) pension schemes. -
Final Notice 2018: London Road Car Sales Ltd [pdf]
This FCA 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 2022: The TJM Partnership Limited (Formerly known as Neovision Global Capital Limited) (In Liquidation) [pdf]
This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty.