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Showing 11 to 20 of 463 search results

  1. Notice of Undertaking: James Brearley & Sons Limited [pdf]

    Undertakings Published: 09/05/2019
    The FCA has published an undertaking from James Brearley & Sons Limited regarding a potentially unfair term in its share dealing contract. The undertaking has been provided under the Consumer Rights Act 2015 (CRA) and the Unfair Terms in Consumer Contracts Regulations 1999 (UTCCRs).
  2. Decision Notice: Thomas Ward (de facto director of FPL) [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Thomas Ward (de facto director of FPL)) refers to breaches of section 63A FSMA and FIT related to a lack of fitness/propriety in the investment adviser and pensions sector. Our view is that a prohibition and financial penalty should be imposed.
  3. Decision Notice: Financial Page Ltd (in liquidation) [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Financial Page Ltd (in liquidation)) refers to breaches of PRIN 1 and section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that a public censure should be imposed.
  4. Decision Notice: Aiden Henderson (Director of HCA) [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Aiden Henderson (Director of HCA)) 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.
  5. Decision Notice: Robert Ward (Director of BHIM) [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Robert Ward (Director of BHIM) 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.
  6. Decision Notice: Henderson Carter Associates Limited (in liquidation) [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Henderson Carter Associates Limited (in liquidation)) refers to breaches of PRIN 1 and Section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that a public censure should be imposed.
  7. Decision Notice: Tristan Freer (Director of BHIM) [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Tristan Freer (Director of BHIM)) 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.
  8. Decision Notice: Bank House Investment Management Limited [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Bank House Investment Management Limited) refers to breaches of PRIN 1 and section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that a financial penalty should be imposed.
  9. Decision Notice 2019: Standard Chartered Bank [pdf]

    Decision notices Published: 09/04/2019
    This decision notice refers to breaches of the Money Laundering Regulations 2007 related to financial crime in the investment and retail bank sector. We imposed a fine.
  10. Warning Notice Statement 19/1 [pdf]

    Warning notices Published: 25/03/2019
    The Financial Conduct Authority gave an individual a warning notice on 12 February 2019 proposing to take action in respect of the conduct summarised in this statement.