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

Search results

Showing 4701 to 4710 of 6326 search results for This final notice.

  1. Notice of Decision 2024: J&D Motors Ltd [pdf]

    Decision notices Published: 29/04/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  2. Notice of Decision 2024: Digitalaura Solutions Ltd [pdf]

    Decision notices Published: 08/05/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  3. FCA retention schedule [pdf]

    Systems information Published: 17/02/2020 Last modified: 01/04/2022
    Our retention policy sets out how long we hold all information, including any personal data used for each of the areas mentioned in this privacy notice.

  4. FCA Decision Notice 2013: Clive John Rosier [pdf]

    Decision notices Published: 23/05/2013 Last modified: 04/06/2015
    This decision notice refers to breaches of APER 2 and 7 related to unfair treatment of customers in relation to complaints-handling and lack of fitness/propriety in the investment advisors and platforms sector. Our view is that a fine, withdrawal

  5. Warning Notice Statement 22/3 [pdf]

    Warning notices Published: 20/10/2022
    The FCA gave a warning notice on 10 August 2022 to an individual (Individual A) working as a director and independent financial adviser at an advisory firm (Firm A) whilst an approved person proposing to take action in respect of the conduct

  6. Notice of Decision 2024:Copymark (Services) Limited [pdf]

    Decision notices Published: 18/04/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  7. Authorisation and registration application fees

    Firm authorisation Published: 07/08/2017 Last modified: 15/07/2024
    Find out how much your firm’s application fee will be to become authorised by us, or registered with us.

  8. FCA Decision Notice 2016: Alistair Rae Burns [pdf]

    Decision notices Published: 01/12/2016
    This decision notice refers to breaches of APER 7 and FIT related to conflicts of interest, a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. Our view is that a fine, prohibition and withdrawal should be

  9. Notice of Decision 2023: Michael Wenman Limited [pdf]

    Decision notices Published: 06/09/2023 Last modified: 23/10/2023
    This Notice of Decision (Michael Wenman Limited) refers to a failure to carry on regulated activities. We imposed a cancellation.

  10. Notice of Decision 2024: Simply Automotive Limited [pdf]

    Decision notices Published: 26/04/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.
Related topics