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Financial Services Register
To look up details of firms, use The Financial Services Register. The register is a public record that shows details of firms, individuals and other bodies that are, or have been, regulated by the Prudential Regulation Authority (PRA) and/or the Financial Conduct Authority (FCA). -
Final Notice 2021: Safe Claims Limited [pdf]
This final notice (Safe Claims Limited) refers to a failure to satisfy the threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation. -
FCA Final Notice 2013: J.P. Morgan International Bank Limited [pdf]
This Final Notice refers to breaches of PRIN 3 and SYSC related to mis-selling in the wealth management and private banking sector. We imposed a fine and past business review. -
Final Notice 2022: D T Cars & Commercials Ltd [pdf]
This final notice (D T Cars & Commercials Ltd) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the credit broking sector. We refused the firm’s application for authorisation. -
Final Notice 2021: Abacus Management Ltd [pdf]
This final notice (Abacus Management Ltd) refers to a failure to satisfy the threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for -
Final Notice 2021: Accident & Injury Assist [pdf]
This final notice (Accident & Injury Assist) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation -
Final Notice 2019: The Carphone Warehouse Limited [pdf]
This final notice (The Carphone Warehouse Limited) refers to breaches of PRIN 3, 6 and 9 related to mis-selling in the general insurance and protection sector. We imposed a fine. -
Final Notice 2017: The Encore Trading Company Limited [pdf]
This final notice refers to breaches of PRIN11 and COND relating to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final Notice 2022: Wakefield Motor House Ltd [pdf]
This final notice (Wakefield Motor House Ltd) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the Credit Broking sector. We refused the firm’s application for authorisation. -
Final Notice 2022: Citigroup Global Markets Limited [pdf]
This Final Notice refers to breaches of Principle 2 of the FCA’s Principles for Businesses and Article 16(2) of the Market Abuse Regulation related to market protection and wholesale conduct in the Investment Banking and Trading Firm sector. We -
Final Notice 2021: Laura Thompson (trading as ML Car Sales) [pdf]
This final notice (Laura Thomspson trading as ML Car Sales) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority PRIN 11 in the consumer credit sector. We imposed a cancellation.