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Showing 571 to 580 of 657 search results for This final notice refers to a failure to satisfy.

  1. Service standards 2020/21

    Data Published: 15/07/2021 Last modified: 15/07/2021
    The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2020/21.

  2. FCA operating service metrics 2021/22

    Data Published: 19/07/2022 Last modified: 20/12/2023
    The FCA provides information about the timeliness of its operating service metrics (formerly known as service standards) in a range of areas for 2021/22.

  3. 2024 fines

    News stories Published: 25/03/2024 Last modified: 25/06/2024
    Enforcement fines published in 2024.

  4. Final Notice 2016: Money Matcher Limited [pdf]

    Final notices Published: 14/09/2016
    This final notice refers to an application for Part 4A authorisation (“the Application”) by a firm holding Interim Permission in respect of the regulated activities subject to the Application. Due to concerns about the firm’s ability to

  5. Final notice 2016: Secure Property Consultants Limited [pdf]

    Final notices Published: 24/06/2016 Last modified: 24/06/2016
    This final notice refers to breaches of COND 2.3, COND 2.4, COND 2.5, COND 2.7, PRIN 11 related to failing to satisfy Threshold Conditions for Part 4A authorisation in the consumer credit sector. We imposed a refusal.

  6. 2022 fines

    News stories Published: 28/02/2022 Last modified: 04/01/2023
    Enforcement fines published in 2022.

  7. Decision Notice 2022: One Life Funeral Planning [pdf]

    Decision notices Published: 27/07/2022
    This Decision Notice refers to a failure to satisfy threshold conditions (COND) in the Funeral Plans sector. We refused the firm’s application for authorisation.

  8. 2020 fines

    News stories Published: 21/01/2020 Last modified: 02/12/2022
    This page contains information about enforcement fines published during the calendar year ending 2020.

  9. Final notice 2016: Veena Bhandari [pdf]

    Final notices Published: 26/01/2016 Last modified: 26/01/2016
    This final notice refers to a candidate for approval to perform controlled functions. The candidate did not satisfy us that they met the competence & capability criteria of the FCA’s Fit and Proper Person Test. We refused the application.

  10. Final notice 2016: Sunrise Brokers LLP [pdf]

    Final notices Published: 13/06/2016 Last modified: 13/06/2016
    This final notice refers to a candidate for approval to perform controlled functions. The applicant firm and candidate did not provide sufficient information to satisfy us that the candidate met the honesty, integrity and reputation criteria of the
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