Publications

Filter results

Filter by topic

Historical publications

Filter by date
Date range

Filter by document type

Search results

Showing 4761 to 4770 of 18806 search results.

  1. Decision Notice 2023: James Edward Staley [pdf]

    Decision notices

    Published: 12/10/2023

    This Decision Notice refers to breaches of the Senior Management Conduct Rules and Individual Conduct Rules relating to integrity and the disclosure of information to and relations with regulators. We have issued a Decision Notice seeking to impose

  2. Final Notice 2023: London Capital & Finance plc (in administration) [pdf]

    Final notices

    Published: 11/10/2023

    This Final Notice refers to breaches of CoBS related to financial promotions in the Issuer sector. We imposed a public censure.

  3. Notice of Decision 2023: Brennan Automotive's Ltd [pdf]

    Decision notices

    Published: 10/10/2023

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

  4. NewRulesforhighriskinvestmentsvideo.mp4 [mp4]

    Published: 09/10/2023

  5. New-rules-for-high-risk-investments-transcript.pdf [pdf]

    Published: 09/10/2023

    New rules for high-risk investments transcript

  6. New-rules-for-high-risk-investments-transcript.docx [docx]

    Published: 09/10/2023

    New rules for high-risk investments video transcript

  7. Final Notice 2023: Wellington Court Financial Services Limited [pdf]

    Final notices

    Published: 06/10/2023

    This final notice (Wellington Court Financial Services Limited) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in relation to a firm within the TPR. We imposed a cancellation.

  8. First Supervisory Notice 2023: London Court Limited [pdf]

    Supervisory notices

    Published: 06/10/2023

    For the reasons given in this First Supervisory Notice, and pursuant to section 55L(3)(a) of the Financial Services and Markets Act 2000, the FCA has decided to impose the following requirements on London Court Limited with immediate effect.

  9. Information on funeral plan sales - October 2023

    FOI releases

    Published: 05/10/2023

    Last modified: 31/12/2024

    FCA provides information on information on Funeral plan sales October 2023.

  10. Notice of Undertaking: Wirex Limited [pdf]

    Undertakings

    Published: 04/10/2023

    Notice of Undertaking: Wirex Limited.
Did you find what you were looking for?