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Showing 71 to 80 of 509 search results

  1. Second Supervisory Notice 2018: P.F. (International) Limited [pdf]

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

    Supervisory notices Published: 17/10/2018
  3. 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.
  4. 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...
  5. First Supervisory Notice 2018: Total Debt Relief Ltd [pdf]

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

    Supervisory notices Published: 02/08/2018
  7. Decision Notice 2018: Darren Lee Newton [pdf]

    Decision notices Published: 21/05/2018
    This decision notice (Darren Lee Newton) refers to breaches of FIT related to client money/assets and a lack of fitness/propriety in the consumer credit sector. Our view is that a prohibition should be imposed.
  8. Voluntary Application for Imposition of Requirements: Barclays Bank plc [pdf]

    Requirement notices Published: 11/05/2018
  9. Voluntary Application for Imposition of Requirements: Barclays Bank UK plc [pdf]

    Requirement notices Published: 11/05/2018
  10. 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.