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Showing 81 to 90 of 410 search results

  1. Voluntary Application for Imposition of Requirement: PDHL Limited [pdf]

    Requirement notices Published: 17/06/2015 Last modified: 17/06/2015
  2. IRHP s166 requirement notice [pdf]

    Requirement notices Published: 15/06/2015 Last modified: 03/08/2016
  3. AI Scheme supplemental VREQ application [pdf]

    Requirement notices Published: 10/06/2015 Last modified: 11/06/2015
  4. AI Scheme supplemental VREQ application: Bank/ card provider [pdf]

    Requirement notices Published: 10/06/2015 Last modified: 11/06/2015
  5. Application for a requirement on part 4A permission: La Cloche Capital Markets Limited [pdf]

    Requirement notices Published: 26/05/2015 Last modified: 26/05/2015
  6. FCA Decision Notice 2015: Peter Francis Johnson [pdf]

    Decision notices Published: 26/05/2015 Last modified: 26/05/2015
    This decision notice refers to breaches of APER 1, APER 4, FIT related to mis-selling, failing to be open and co-operative, lack of fitness/propriety, failing to act on information appropriately in the Asset Management sector. Our view is that a fine and a prohibition should be imposed.
  7. FCA Decision Notice 2015: Mark John Owen [pdf]

    Decision notices Published: 26/05/2015 Last modified: 26/05/2015
    This decision notice refers to breaches of APER 1, APER 4, FIT related to mis-selling, failing to be open and co-operative, lack of fitness/propriety, failing to act on information appropriately in the Asset Management sector. Our view is that a fine and a prohibition should be imposed.
  8. FCA Decision Notice 2015: Stewart Owen Ford [pdf]

    Decision notices Published: 26/05/2015 Last modified: 27/05/2015
    This decision notice refers to breaches of APER 1, APER 4, FIT related to mis-selling, failing to be open and co-operative, lack of fitness/propriety, conflicts of interests, failing to act on information appropriately in the Asset Management sector. Our view is that a fine and a prohibition should be imposed.
  9. Application for a requirement on part 4A permission: Plus500UK Limited [pdf]

    Requirement notices Published: 22/05/2015 Last modified: 22/05/2015
  10. FCA First Supervisory Notice 2015: Clear View Finance Limited [pdf]

    Supervisory notices Published: 21/05/2015 Last modified: 21/05/2015