Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 3521 to 3530 of 7106 search results for final notice.

  1. FCA fines former fund manager Paul Stephany

    Press Releases Published: 05/02/2019 Last modified: 05/02/2019
    The Financial Conduct Authority (FCA) has fined Paul Stephany, a former fund manager at Newton Investment Management Limited, £32,200 for his conduct in relation to an Initial Public Offering (IPO) and a placing.

  2. CP23/3: Financial Services Compensation Scheme – Management Expenses Levy Limit 2023/24

    Consultation papers Published: 12/01/2023 Last modified: 12/01/2023
    The FCA and PRA consult on proposals for the FSCS's annual Management Expenses Levy Limit (MELL) for 2023/24.

  3. Enforcement data – Annual Report 2019/20

    Data Published: 10/09/2020 Last modified: 10/09/2020
    This FCA enforcement data for the year 2019/20 forms part of the FCA's annual report 2019/20.

  4. FCA fines TFS-ICAP £3.44 million for market misconduct

    Press Releases Published: 23/11/2020 Last modified: 23/11/2020
    The Financial Conduct Authority (FCA) has fined TFS-ICAP Ltd, an FX options broker, £3.44m for communicating misleading information to clients.

  5. Final Notice 2018: D & J Roofing & Building Services Limited [pdf]

    Final notices Published: 09/03/2018
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  6. Funeral plans: check your provider is authorised

    Consumers Published: 24/08/2021 Last modified: 13/03/2024
    Whether you're buying a new funeral plan or you already have one, find out how to make sure your provider is authorised by us, and what you should do if it isn’t.

  7. Complain about us, the PRA or the Bank of England (the regulators)

    How we operate Published: 04/04/2016 Last modified: 13/03/2024
    Find out how to make a complaint about the regulators and how we investigate complaints.

  8. Business Plan 2023/24

    Corporate documents Business plans Published: 04/04/2023 Last modified: 02/07/2024
    The FCA's Business Plan details the work it will do over the next 12 months to help deliver the commitments in its Strategy.

  9. Final Notice 2023: First Class Blinds Belfast Limited (trading as First Class Blinds) [pdf]

    Final notices Published: 14/03/2023
    This final notice (First Class Blinds Belfast Limited (trading as First Class Blinds)) 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

  10. Becoming an appointed representative if you’re a funeral plan intermediary

    Firms Tasks for firms Published: 03/05/2021 Last modified: 01/11/2023
    Find out how to become an appointed representative (AR) that sells and distributes funeral plans on behalf of a principal firm.
Related searches
Related topics