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Showing 5201 to 5210 of 6330 search results for This final notice.

  1. Notice of Decision 2024: Landmark Financial Resources (Mortgages) 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.  

  2. Warning Notice Statement 20/2 [pdf]

    Warning notices Published: 13/11/2020 Last modified: 13/11/2020
    On 18 September 2020, the Financial Conduct Authority (the FCA) gave Carillion plc (in liquidation since 15 January 2018) and certain previous executive directors of Carillion a warning notice each, proposing to take action in respect of the conduct

  3. PS22/9: A new Consumer Duty

    Policy statements Published: 27/07/2022 Last modified: 27/07/2022
    We are consulting for a second time on our proposals to set a higher standard of consumer protection in retail financial markets, where firms compete vigorously in the interests of consumers.

  4. Warning Notice Statement 20/1 [pdf]

    Warning notices Published: 19/03/2020
    The Financial Conduct Authority gave an individual a warning notice on 19 March 2020 proposing to take action in respect of the conduct summarised in this statement.

  5. Personal data used when you contact us

    Last modified: 01/07/2024
    How and why the FCA uses personal data to help us respond when you contact the organisation.

  6. FCA decision notice 2015: Charles Palmer [pdf]

    Decision notices Published: 11/12/2015 Last modified: 11/12/2015
    This decision notice refers to breaches of APER 6 and FIT related to appointed representatives, culture/governance, lack of fitness/propriety and unfair treatment of customers in the investment adviser sector. Our view is that a financial penalty

  7. Warning Notice Statement 19/1 [pdf]

    Warning notices Published: 25/03/2019
    The Financial Conduct Authority gave an individual a warning notice on 12 February 2019 proposing to take action in respect of the conduct summarised in this statement.

  8. Dealing with EEA firms and investment funds

    Consumers Published: 15/12/2020 Last modified: 19/06/2024
    What to check if you’re dealing with an EEA firm in supervised run-off (SRO) or contractual run-off (CRO), or a fund in the temporary marketing permission regime (TMPR).

  9. Capital market regulation and coronavirus

    Speeches Published: 07/08/2020 Last modified: 07/08/2020
    Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the ShareSoc Webinar: building market and investor confidence.

  10. Second Supervisory Notice 2022: Samweb UK Ltd [pdf]

    Supervisory notices Published: 21/10/2022 Last modified: 16/11/2022
    For the reasons given in this Notice, the Authority has decided not to rescind the following Directions and Requirements set out below in paragraph 1.2 which were imposed on the Firm and notified to it in the First Supervisory Notice dated 21 June
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