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Showing 5731 to 5740 of 7134 search results for final notice.

5731. Decision Notice 2018: Mohammad Ataur Rahman Prodhan [pdf]

      Decision notices Published: 04/12/2018
      This decision notice refers to an alleged breach of APER 6, and allegedly being knowingly concerned in a breach of PRIN 3 in relation to financial crime controls in the retail bank sector. We have proposed imposing a financial penalty.

5732. Notice of Decision 2023: Tusk Capital Management Limited [pdf]

      Decision notices Published: 29/09/2023
      This Notice of Decision (Tusk Capital Management Limited) refers to a failure to carry on regulated activities. We imposed a cancellation.

5733. Apply to become a sponsor

      Markets Published: 04/05/2016 Last modified: 29/07/2024
      If your firm is looking to act as a Sponsor, there are several steps. Read more about the application process and what happens after you're approved.

5734. Notice of intention to exercise the right of establishment in another EEA member state in accordance with the Second Electronic Money Directive [doc]

      Forms Published: 19/04/2013 Last modified: 02/01/2018
      You must complete this notification if you are an Electronic Money Institution (EMI) that wishes to establish a branch in another European Economic Area (EEA) member state and/or an agent/distributor in another EEA state for the first time, in

5735. Decision Notice 2021: Markos Theodosi Markou [pdf]

      Decision notices Published: 28/07/2021
      This Decision Notice refers to what the FCA considers to be a breach of Principle 1 of APER. The FCA's view is that the individual acted recklessly, is not fit and proper and therefore a financial penalty and a full prohibition should be imposed.

5736. PS21/3: Building operational resilience: Feedback to CP19/32 and final rules [pdf]

      Policy statements Published: 29/03/2021
      This Policy Statement (PS) summarises the feedback we received to CP19/32 and our response, and sets out final rules.

5737. Operational resilience insights for insurance firms

      Firms General insurers and insurance intermediaries Published: 24/03/2022 Last modified: 31/01/2023
      Our rules come into force on 31 March 2022. Use these insights to review your firm’s approach and consider what actions you need to take.

5738. Notice of Decision 2024: Alternative Funding Centre Limited [pdf]

      Decision notices Published: 04/04/2024
      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

5739. Notice of Decision 2023: Bloomfields Horseboxes South Ltd [pdf]

      Decision notices Published: 07/12/2023
      This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation

5740. Notice of Decision 2023: Ozen Financial Services Limited [pdf]

      Decision notices Published: 09/06/2023
      This Notice of Decision (Ozen Financial Services Limited) refers to a failure to carry on regulated activities. We imposed a cancellation.