FCA Final Notice 2014: Investments Limited

Published: 23/07/2014   Last Modified : 13/03/2015

This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction.

Banking rights

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Find out what your rights are and how to use them.

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Compensation

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Whether a firm is still in business, stopped trading or been declared in default, find out who you should contact.

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