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Showing 4461 to 4470 of 4723 search results for final notice refers.
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Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR). -
Ex-Mortgage Advisor sentenced to two years after FCA action
On Friday 12 July, at Maidstone Crown Court, following criminal action brought by the Financial Conduct Authority (FCA), Michael Joseph James Lewis was sentenced to two years in prison on two counts of making/supplying documentation for use in fraud -
FCA bans and fines financial adviser £68,300 for lacking honesty and integrity
The FCA has banned Simon Varley from working in financial services and fined him £68,300 for knowingly performing a controlled function without approval. -
Findings from our investment platforms costs and charges review – good and poor practice
In our Investment Platforms Market Study we said we would keep the role of platforms in helping consumers understand their investment costs under review. -
FCA takes first enforcement action against firm enabling cryptoasset trading
CB Payments Limited (CBPL) has been fined £3,503,546 by the FCA for repeatedly breaching a requirement that prevented the firm from offering services to high-risk customers. -
Amendments to the IFPR Instrument 2021 since publishing the near-final version
We set out amendments to the original text of the near-final Investment Firms Prudential Regime (IFPR) Instrument, which was originally published in PS21/9. -
PS18/21: SME access to the Financial Ombudsman Service - near-final rules
Following publication of this Policy Statement with near-final rules, we have now published final rules. Our final rules, which are unchanged from our near-final rules, extend access to the Financial Ombudsman Service (‘the ombudsman service’) -
CP18/11: Reviewing the funding of the Financial Services Compensation Scheme (FSCS)
We have made final rules to change how the FSCS is funded and are consulting on changes to our Professional Indemnity Insurance (PII) requirements for Personal Investment Firms (PIFs). -
FCA fines Metro Bank PLC £10 million and publishes Decision Notices for two of its former executive directors
Metro Bank PLC fined £10,002,300 for breaching the Listing Rules by publishing incorrect information to investors. -
FCA bans Phillip Harold Boakes and sentence of 10 years upheld
The Final Notice for Phillip Boakes. The FCA’s Press Release in relation to the prosecution action dated 6 March 2015.