Publications

Showing 4821 to 4830 of 18806 search results.

4821. Notice of decision 2023: DQN Global Capital Partners LLP [pdf]

      Decision notices

      Published: 18/09/2023

      Notice of decision: DQN Global Capital Partners LLP Conduct: Failing to carry out regulated activities

4822. Information on SMF roles in the insurance sector - September 2023

      FOI releases

      Published: 18/09/2023

      Last modified: 01/01/2025

      FCA provides information on SMF roles in the insurance sector.

4823. Notice of Decision 2023: Jonathan Mcpeake [pdf]

      Decision notices

      Published: 15/09/2023

      Notice of Decision: Jonathan McPeake Conduct: Failing to carry on regulated activities Breaches: N/A Subject: Firm Outcome:

4824. Notice of Decision 2023: Fast Lane Motors NI [pdf]

      Decision notices

      Published: 14/09/2023

      Conduct: Failing to carry on regulated activities   Breaches: N/A  Subject: Firm   Outcome: Cancellation   Sector:

4825. Action needed to ensure good outcomes for later life mortgage borrowers

      Multi-firm reviews

      Published: 14/09/2023

      Last modified: 14/09/2023

      Key findings of multi-firm work on later life mortgage advertising and advice.

4826. Final Notice 2023: Keith Dickinson [pdf]

      Final notices

      Published: 13/09/2023

      This Final Notice refers to breaches of APER 2 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition and public censure. A payment of £70,000 is being made to the FSCS

4827. Final Notice 2023: Andrew John Allen [pdf]

      Final notices

      Published: 13/09/2023

      This Final Notice refers to breaches of APER 6 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition and public censure. A payment of £85,606 is being made to the FSCS

4828. Notice of Decision 2023: Gainsborough Financial Services [pdf]

      Decision notices

      Published: 13/09/2023

      This Notice of Decision (Gainsborough Financial Services) refers to a failure to carry on regulated activities. We imposed a cancellation.

4829. Transcript: Improving Form A [pdf]

      Transcripts

      Published: 13/09/2023

      Find out about the improvements we're making to Form A, one of our most used authorisation application forms.

4830. PS23/13: Introducing a gateway for firms who approve financial promotions September [pdf]

      Policy statements

      Published: 12/09/2023

      This policy statementsets out our response to the feedback we received to our December 2022 consultation on introducing a gateway for firms who approve financial promotions.