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  1. Voluntary Application for Imposition of Requirements: Barclays Bank UK plc [pdf]

    Requirement notices Published: 11/05/2018
  2. Decision Notice: Andrew Page (Director of FPL) [pdf]

    Decision notices Published: 09/05/2018
    This decision notice (Andrew Page (Director of FPL)) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that a prohibition, financial penalty and withdrawal should be imposed.
  3. Decision Notice 2018: Lewis Alexander Limited [pdf]

    Decision notices Published: 27/04/2018
    This decision notice (Lewis Alexander Limited) refers to the firm not demonstrating the level of cooperation that is expected of a regulated firm, meaning the FCA cannot satisfy itself that the firm will satisfy, and continue to satisfy threshold conditions in relation to effective supervision, appropriate resources and suitability.
  4. Decision Notice 2018: John Lawrence Radford [pdf]

    Decision notices Published: 26/01/2018
    This decision notice refers to breaches of APER 6 and APER 7 related to client money/assets in the general insurance and protection sector. Our view is that a fine and prohibition should be imposed.
  5. Decision Notice 2018: One Call Insurance Services Limited [pdf]

    Decision notices Published: 26/01/2018
    This decision notice refers to breaches of PRIN 10 and CASS related to client money/assets in the general insurance and protection sector. Our view is that a fine and restriction should be imposed.
  6. Second Supervisory Notice: Stargate Capital Management Limited and Stargate Corporate Finance Ltd [pdf]

    Supervisory notices Published: 16/01/2018
  7. FCA First Supervisory Notice 2017: Larksway Investments Limited [pdf]

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

    Supervisory notices Published: 29/11/2017
  9. Notice of Undertaking: PPRO Financial Limited [pdf]

    Undertakings Published: 03/10/2017
  10. Warning notice statement 17/5 – Firm [pdf]

    Warning notices Published: 15/08/2017
    The Financial Conduct Authority (the FCA) gave Interactive Brokers (UK) Ltd (IBUK) a warning notice on 25 July 2017 proposing to take action in respect of the conduct summarised in this statement.