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Showing 2741 to 2750 of 3282 search results for This final notice refers.
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Decision Notice 2017: Nationwide Debt Consultants Limited [pdf]
This decision notice refers to breaches of COND, CONC and SYSC related to threshold conditions in the consumer credit sector. Our view is that a refusal should be imposed. -
How we process approved person applications
Find out what happens after submitting your application, including how long it takes for us to make a decision and the possible outcomes. -
Firm handling of complaints during coronavirus
Find out about how firms should handle complaints during coronavirus. -
Apply to become a pre-paid funeral plans firm
If you’re a new funeral plan provider or intermediary, find out when you need to apply to the FCA for authorisation and how to apply. -
FCA sets out findings against Link Fund Solutions
Link Fund Solutions failed to act with due skill, care and diligence in its management of the Woodford Equity Income Fund, according to findings published by the FCA. -
Decision Notice: Henderson Carter Associates Limited (in liquidation) [pdf]
This decision notice (Henderson Carter Associates Limited (in liquidation)) refers to breaches of PRIN 1 and Section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is -
Final Notice 2017: Goldenway Global Investments (UK) Limited and Gregory Rupert Nathan [pdf]
This final notice relates to an application for the individual to perform controlled functions at the firm. For the reasons contained in the notice we refused the application in part, namely for Controlled Functions CF10 and CF11. -
Decision Notice: Cathay International Holdings Limited [pdf]
This decision notice (Cathay International Holdings Limited) 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. -
First Supervisory Notice 2022: Pello Capital Limited [pdf]
This First Supervisory Notice refers to breaches of Prin 3, 4 and 11 related to failing demonstrate that Pello Capital Limited has adequate and appropriate systems and controls to effectively manage risks. Failing to maintain adequate financial -
Financial Penalty Scheme
Find out how the FCA's Financial Penalty Scheme works and how we use retained penalties for the benefit of firms.