Publications

Showing 4781 to 4790 of 18809 search results.

4781. Final Notice 2023: ADM Investor Services International Limited [pdf]

      Final notices

      Published: 02/10/2023

      This Final Notice refers to breaches of Principle 3 of the FCA’s Principles for Business related to serious financial crime control failings in the Wholesale Intermediaries and Brokers sector. We imposed a financial penalty of £6,470,600.

4782. Review of terminal illness benefits within life insurance protection products

      Multi-firm reviews

      Published: 02/10/2023

      Last modified: 03/12/2025

      FCA review of insurance companies’ approaches to terminal illness benefits to make recommendations for improvement.

4783. Handbook Notice 112 [pdf]

      Handbook

      Published: 29/09/2023

      This Handbook Notice describes the changes to the FCA Handbook and other material made by the FCA Board under its legislative and other statutory powers on 28 September 2023.

4784. PS23/14: Multi-occupancy building insurance: Feedback to CP23/8 and final rules [pdf]

      Policy statements

      Published: 29/09/2023

      In this Policy Statement we summarise the feedback we received on our proposals in CP23/8 and our response.

4785. Notice of Decision 2023: The Watercooler Warehouse Limited [pdf]

      Decision notices

      Published: 29/09/2023

      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

4786. Notice of Decision 2023: Total Redress Services Ltd [pdf]

      Decision notices

      Published: 29/09/2023

      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

4787. 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.

4788. Information on thematic review of retirement income advice - September 2023

      FOI releases

      Published: 29/09/2023

      Last modified: 01/01/2025

      FCA provides information on thematic review of retirement income advice.

4789. Decision Notice 2023: Darren Antony Reynolds [pdf]

      Decision notices

      Published: 28/09/2023

      This Decision Notice (Darren Antony Reynolds) refers to breaches of APER 1 and FIT related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. Our view is that a financial penalty and prohibition should be

4790. Final Notice 2023: Andrew John Deeney [pdf]

      Final notices

      Published: 28/09/2023

      This Final Notice (Andrew John Deeney) refers to breaches of APER 1 related to the provision of unsuitable defined benefit pension transfer advice in the pensions and investments sector. We imposed a financial penalty and prohibition.