Publications
Search results
Showing 6751 to 6760 of 18811 search results.
-
Transcript: Adviser research and communications advice [pdf]
Transcript of video: Adviser research and communications advice -
Transcript: Mandatory information/choosing an adviser [pdf]
Transcript of video on pensions advice: Mandatory information/choosing an adviser -
Information about FCA's oversight of rules on production of value statements by asset managers 2019-2021 – September 2021
FCA provides information about FCA's oversight of rules on production of value statements by asset managers 2019-2021. -
Final Notice 2021: Anthony George [pdf]
This Final Notice (Anthony George) refers to breaches of FIT relating to a lack of fitness/propriety and failing to be open and co-operative in the life insurance and mortgages sector. We imposed a prohibition and a public censure. -
Information on how Consumer Credit Act 1974 s.75 applies to travel services payments – September 2021
FCA provides information on how Consumer Credit Act 1974 s.75 applies to travel services payments made via travel agents. -
OPBAS: Progress and themes from our 2020/21 supervisory assessments [pdf]
OPBAS report for 2020/21 looking at progress and themes from supervisory assessments. -
Numbers of notices of ceasing to perform senior management functions and controlled functions received by the FCA
FCA provided numbers of notices of ceasing to perform senior management functions, and controlled functions, received by the FCA -
Final Notice 2021: Principal Claims Management Services Limited [pdf]
This final notice (Principal Claims Management Services Limited) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s -
Final Notice 2021: Jon Frensham (formerly known as Jonathan James Hunt) [pdf]
This Final Notice (Jon Frensham, formerly known as Jonathan James Hunt) refers to breaches of FIT by a financial adviser. We imposed a prohibition. -
Final Notice 2021: Active Claims (UK) Ltd [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative with the regulator in the claims management sector. We refused the firm’s application for authorisation.