Publications

Filter results
Expand / Collapse
Filter by document type
Filter by year
Sort by:

Search results

Showing 11 to 20 of 459 search results

  1. 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.
  2. Decision Notice: Andrew Page (Director of FPL) [pdf]

    Decision notices Published: 09/05/2019
    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: 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.
  4. 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.
  5. 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.
  6. 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.
  7. 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.
  8. Second Supervisory Notice 2019: London Capital & Finance PLC [pdf]

    Supervisory notices Published: 28/02/2019 Last modified: 28/02/2019
    This second supervisory notice (London Capital & Finance PLC) refers to communications in relation to the firm's 'Fixed Rate ISA or Bond' which the FCA considers to be misleading, not fair, not clear and in breach of COBS 4.2.1R. We imposed requirements on the firm.
  9. First Supervisory Notice 2019: Coutts Automobiles Limited [pdf]

    Supervisory notices Published: 25/01/2019
    This first supervisory notice refers to a failure to satisfy the suitability threshold condition (COND) and breaches of PRIN. We varied the firm’s permission.
  10. First Supervisory Notice 2019: Organic Investment Management Limited [pdf]

    Supervisory notices Published: 16/01/2019
    This first supervisory notice (Organic Investment Management Limited) refers to a failure to satisfy the appropriate resources threshold condition (COND) and breaches of SYSC. We imposed requirements on the firm.