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  1. 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.
  2. First Supervisory Notice: Bank House Investment Management Limited [pdf]

    Supervisory notices Published: 17/01/2017
  3. Warning notice statement 17/1 – Individual [pdf]

    Warning notices Published: 13/01/2017
    The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 12 December 2016 proposing to take action in respect of the conduct summarised in this statement.
  4. 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.
  5. FCA Decision Notice 2016: Steven Maoudis trading as Montana Debt Management [pdf]

    Decision notices Published: 01/11/2016
    This decision notice refers to the FCA’s belief that Steven Maoudis trading as Montana Debt Management does not meet the minimum standards for authorisation to carry on regulated activities. Our view (subject to the Upper Tribunal’s determination) is that the firm’s application for Part 4A authorisation should therefore be refused, due to...
  6. Notice of Decision to Cancel: Murrayfield Management Limited [pdf]

    Cancellation notices Published: 27/09/2016
    This decision notice refers to breaches of money laundering regulations 2007 related to failing to be open and co-operative in the trading firm sector. Our view is that a cancellation should be imposed.
  7. FCA Decision Notice 2016: Michael Wilkinson trading as Michael Wilkinson Mortgages [pdf]

    Decision notices Published: 27/09/2016
    This decision notice refers to breaches of PRIN 4, PRIN 11, COND, MIPRU and SUP related to failing to be open and co-operative and threshold conditions in the regulated home finance sector. Our view is that a cancellation should be imposed.
  8. FCA Decision Notice 2016: Andrew Tinney [pdf]

    Decision notices Published: 14/09/2016 Last modified: 16/08/2019
    This decision notice refers to breaches of APER 1 and FIT related to culture/governance, failing to be open and co-operative and a lack of fitness/propriety in the wealth management and private banking sector. Our view is that a public censure and prohibition should be imposed.
  9. AI Scheme second supplemental VREQ application [pdf]

    Requirement notices Published: 22/08/2016 Last modified: 23/08/2016
  10. AI Scheme second supplemental VREQ application: Bank/ card provider [pdf]

    Requirement notices Published: 22/08/2016 Last modified: 23/08/2016