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Showing 4731 to 4740 of 6326 search results for This final notice.
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Decision Notice: Jin-Yi Lee [pdf]
This decision notice (Jin-Yi Lee) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. Our view is that a fine should be imposed. -
The sponsor regime
Sponsors are firms we approve to advise premium listed companies on their obligations under the listing regime. Read more about the regime and being a sponsor. -
Decision Notice 2017: Church Hill Finance (Anthony Badaloo trading as) [pdf]
This decision notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the investment adviser sector. Our view is that a cancellation should be imposed. -
Confirmed Industry Guidance
Industry Guidance will be of interest to firms wishing to follow Industry Guidance, guidance producers wishing to seek confirmation, and consumers wanting to understand the purpose of Industry Guidance -
Notice of Decision 2023: Abigail Investment Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Funeral plan providers and intermediaries
The FCA regulates the pre-paid funeral plans sector. See all our resources for firms. -
Firm handling of complaints during coronavirus
Find out about how firms should handle complaints during coronavirus. -
Decision Notice: Aiden Henderson (Director of HCA) [pdf]
This decision notice (Aiden Henderson (Director of HCA)) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that -
FSA CP13/8: Publishing information about warning notices
This consultation paper sets out our proposals on how the FCA will publish information about the subject-matter of a warning notice if it considers it to be appropriate. -
Notice of Decision 2024: Switch Cars 24/7 Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activity. We imposed a Cancellation.