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  1. Second Supervisory Notice 2019: London Capital & Finance PLC [pdf]

    Supervisory notices Published: 28/02/2019 Last modified: 28/02/2019
    This second supervisory notice (London Capital & Finance PLC) refers to communications in relation to the firm's 'Fixed Rate ISA or Bond' which the FCA considers to be misleading, not fair, not clear and in breach of COBS 4.2.1R. We imposed requirements on the firm.
  2. First Supervisory Notice 2019: Coutts Automobiles Limited [pdf]

    Supervisory notices Published: 25/01/2019
    This first supervisory notice refers to a failure to satisfy the suitability threshold condition (COND) and breaches of PRIN. We varied the firm’s permission.
  3. First Supervisory Notice 2019: Organic Investment Management Limited [pdf]

    Supervisory notices Published: 16/01/2019
    This first supervisory notice (Organic Investment Management Limited) refers to a failure to satisfy the appropriate resources threshold condition (COND) and breaches of SYSC. We imposed requirements on the firm.
  4. Decision Notice 2018: Mohammad Ataur Rahman Prodhan [pdf]

    Decision notices Published: 04/12/2018
    This decision notice refers to an alleged breach of APER 6, and allegedly being knowingly concerned in a breach of PRIN 3 in relation to financial crime controls in the retail bank sector. We have proposed imposing a financial penalty.
  5. Second Supervisory Notice 2018: P.F. (International) Limited [pdf]

    Supervisory notices Published: 27/11/2018
  6. First Supervisory Notice 2018: Exmoor Partners LLP (“Exmoor”) [pdf]

    Supervisory notices Published: 17/10/2018
  7. Notice of Decision to Cancel: Housemaids4You Ltd [pdf]

    Cancellation notices Published: 16/10/2018
    This decision notice refers to the failure to pay a fee to the Authority required under The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017. Our view is that a cancellation should be imposed.
  8. Decision Notice 2018: Linear Investments Limited [pdf]

    Decision notices Published: 27/09/2018
    This decision notice refers to breaches of PRIN 3 related to market protection and market abuse in the trading firm sector. Our view is that a fine should be imposed. Linear has agreed the facts set out in the Notice, as well as liability for the breaches identified. Linear disputes the penalty imposed and has referred the issue of penalty to the...
  9. First Supervisory Notice 2018: Total Debt Relief Ltd [pdf]

    Supervisory notices Published: 16/08/2018
  10. First Supervisory Notice 2018: P.F. International Limited [pdf]

    Supervisory notices Published: 02/08/2018