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Showing 5071 to 5080 of 6326 search results for This final notice.

  1. FCA introduces new rules on whistleblowing

    Press Releases Published: 06/10/2015 Last modified: 19/04/2016
    Today’s publications follow on from the publication of the FCA’s and PRA’s final rules on improving individual accountability in the UK banking sector on 7 July 2015. ... Future publications on banking accountability. Final rules on the inclusion

  2. Decision Notice 2018: Mohammad Ataur Rahman Prodhan [pdf]

    Decision notices Published: 04/12/2018
    This decision notice refers to an alleged breach of APER 6, and allegedly being knowingly concerned in a breach of PRIN 3 in relation to financial crime controls in the retail bank sector. We have proposed imposing a financial penalty.

  3. PS19/7: Finalising the Directory

    Policy statements Published: 08/03/2019 Last modified: 08/03/2019
    This Policy Statement sets out the final rules on the Directory, a new public register for checking the details of key individuals working in the financial services. It also summarises the feedback we received to Consultation Paper CP18/19 and our

  4. Decision Notice 2021: Markos Theodosi Markou [pdf]

    Decision notices Published: 28/07/2021
    This Decision Notice refers to what the FCA considers to be a breach of Principle 1 of APER. The FCA's view is that the individual acted recklessly, is not fit and proper and therefore a financial penalty and a full prohibition should be imposed.

  5. Land banking investment scams

    Consumers Scams Published: 10/08/2017 Last modified: 20/03/2023
    Find out how land banking investments work, how to avoid scams and what to do if you’re scammed.

  6. Improper delegation of authorised activities - a notice for financial adviser firms and their advisers

    Multi-firm reviews Published: 30/11/2015 Last modified: 18/05/2017
    Firms that are approached to delegate their regulated activities, such as providing pension switching advice, to an unauthorised third party need to be aware of the serious implications that may arise as a result of entering into this type of

  7. Notice of Decision 2024: Alternative Funding Centre Limited [pdf]

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

  8. Notice of Decision 2023: Bloomfields Horseboxes South Ltd [pdf]

    Decision notices Published: 07/12/2023
    This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation

  9. Delegation arrangements changes

    Firms Published: 08/06/2016 Last modified: 30/01/2023
    Find out about notifying us of changes to AIFMD delegation and sub-delegation arrangements.

  10. Notice of Decision 2023: Ozen Financial Services Limited [pdf]

    Decision notices Published: 09/06/2023
    This Notice of Decision (Ozen Financial Services Limited) refers to a failure to carry on regulated activities. We imposed a cancellation.
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