Notice types directory

• Warning notice

  Jurisdiction

  United Kingdom

  Issuer

  FCA ¹

  What it means

  Proposed enforcement action. Not the final decision. At least 14 days for representations ^1,3

  Source

  FCA and FSMA 2000 ^1,3

• Decision notice

  Jurisdiction

  United Kingdom

  Issuer

  FCA ²

  What it means

  Decision to act, with reasons. Can be referred to the Upper Tribunal, normally within 28 days ²

  Source

  FCA ²

• Final notice

  Jurisdiction

  United Kingdom

  Issuer

  FCA ²

  What it means

  Issued when no referral is made in time. Usually published ²

  Source

  FCA ²

• Warning List entry

  Jurisdiction

  United Kingdom

  Issuer

  FCA ⁴

  What it means

  Unauthorised firm or individual not allowed to operate in the UK, including clones ⁴

  Source

  FCA ⁴

• Form FDA 483

  Jurisdiction

  United States

  Issuer

  FDA investigators ⁶

  What it means

  Inspection observations given at the end of an inspection. Not a final agency determination ⁶

  Source

  FDA ⁶

• Untitled letter

  Jurisdiction

  United States

  Issuer

  FDA ⁵

  What it means

  Violations below the warning letter threshold. Requests a response ⁵

  Source

  FDA Regulatory Procedures Manual ⁵

• Warning letter

  Jurisdiction

  United States

  Issuer

  FDA ⁵

  What it means

  Violations of regulatory significance. Informal and advisory. Response usually within 15 working days ⁵

  Source

  FDA Regulatory Procedures Manual ⁵

• Close-out letter

  Jurisdiction

  United States

  Issuer

  FDA ⁷

  What it means

  Issued after FDA verifies corrections to a warning letter ⁷

  Source

  FDA ⁷

• Class I recall

  Jurisdiction

  United States

  Issuer

  FDA classification ⁸

  What it means

  Reasonable probability of serious adverse health consequences ⁸

  Source

  FDA ⁸

• Form 8-K Item 1.05

  Jurisdiction

  United States

  Issuer

  SEC registrant ⁹

  What it means

  Disclosure of a material cybersecurity incident, due four business days after the materiality decision ⁹

  Source

  SEC ⁹

• WARN notice

  Jurisdiction

  United States

  Issuer

  Covered employer ¹⁰

  What it means

  60 days written notice before a plant closing or mass layoff ¹⁰

  Source

  29 USC Chapter 23 ¹⁰

• Summons

  Jurisdiction

  United States

  Issuer

  Plaintiff, served by a non-party aged 18 or over ¹³

  What it means

  Served with the complaint, within 90 days of filing ¹³

  Source

  FRCP Rule 4 ¹³

• Form HR1

  Jurisdiction

  United Kingdom

  Issuer

  Employer ¹¹

  What it means

  Notice to the Redundancy Payments Service of 20 or more proposed redundancies, 30 or 45 days ahead ¹¹

  Source

  GOV.UK ¹¹

• Claim form

  Jurisdiction

  United Kingdom

  Issuer

  Claimant ¹⁴

  What it means

  Deemed served on the second business day after the relevant step ¹⁴

  Source

  Civil Procedure Rules Part 6 ¹⁴

• Personal data breach notice

  Jurisdiction

  United Kingdom

  Issuer

  Controller ¹⁶

  What it means

  Notice to the regulator without undue delay and where feasible within 72 hours ¹⁶

  Source

  UK GDPR Article 33 ¹⁶

• Group termination notice

  Jurisdiction

  Canada

  Issuer

  Federally regulated employer ¹²

  What it means

  Notice at least 16 weeks before ending the jobs of 50 or more employees at one establishment within four weeks ¹²

  Source

  Canada Labour Code section 212 ¹²

• Recall notification

  Jurisdiction

  Australia

  Issuer

  Supplier ¹⁵

  What it means

  Tell the ACCC within 2 days of a safety recall, under section 128 of the Australian Consumer Law ¹⁵

  Source

  ACCC ¹⁵

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