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  1. FCA First Supervisory Notice 2017: Larksway Investments Limited [pdf]

    Supervisory notices Published: 29/11/2017
  2. FCA Second Supervisory Notice 2017: Larksway Investments Limited [pdf]

    Supervisory notices Published: 29/11/2017
  3. Voluntary Application for Imposition of Requirement: The Mortgage Matters Partnership [pdf]

    Requirement notices Published: 03/08/2017
  4. Re-issued First Supervisory Notice: Stargate Capital Management Limited and Stargate Corporate Finance Ltd [pdf]

    Supervisory notices Published: 07/07/2017
  5. Decision Notice 2017: Nationwide Debt Consultants Limited [pdf]

    Decision notices Published: 09/05/2017
    This decision notice refers to breaches of COND, CONC and SYSC related to threshold conditions in the consumer credit sector. Our view is that a refusal should be imposed.
  6. CPP supplemental VREQ template [pdf]

    Requirement notices Published: 22/02/2017
  7. CPP supplemental VREQ pro forma [pdf]

    Requirement notices Published: 22/02/2017
  8. Decision Notice 2017: Church Hill Finance (Anthony Badaloo trading as) [pdf]

    Decision notices Published: 03/02/2017
    This decision notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the investment adviser sector. Our view is that a cancellation should be imposed.
  9. First Supervisory Notice: Bank House Investment Management Limited [pdf]

    Supervisory notices Published: 17/01/2017
  10. FCA Decision Notice 2016: Alistair Rae Burns [pdf]

    Decision notices Published: 01/12/2016
    This decision notice refers to breaches of APER 7 and FIT related to conflicts of interest, a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. Our view is that a fine, prohibition and withdrawal should be imposed.