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  1. First Supervisory Notice 2020: Triton Insurance Brokers Ltd [pdf]

    Supervisory notices Published: 20/03/2020
    We varied the firm’s permission and imposed requirements on the firm.
  2. Warning Notice Statement 20/1 [pdf]

    Warning notices Published: 19/03/2020
    The Financial Conduct Authority gave an individual a warning notice on 19 March 2020 proposing to take action in respect of the conduct summarised in this statement.
  3. First Supervisory Notice 2020: Uncle Buck Finance LLP [pdf]

    Supervisory notices Published: 19/03/2020
    First Supervisory Notice 2020: Uncle Buck Finance LLP
  4. Second Supervisory Notice 2020: Rix Motor Company Limited [pdf]

    Supervisory notices Published: 18/02/2020
    Second Supervisory Notice for Rix Motor Company Limited (2020)
  5. Second Supervisory Notice 2020: Fortuna Wealth Management Limited [pdf]

    Supervisory notices Published: 18/02/2020
    This second supervisory notice refers to breaches of the supervision threshold conditions (COND) and to breaches of PRIN1 and PRIN11 related to lack of fitness/propriety and failing to be open and co-operative in the investment adviser sector. We imposed a suspension/restriction and redress.
  6. Voluntary Application for the Imposition of Requirements: Zeux Ltd [pdf]

    Requirement notices Published: 10/02/2020
    Voluntary Application for the Imposition of Requirements: Zeux Ltd.
  7. Temporary intervention on the marketing of speculative mini-bonds to retail investors [pdf]

    Temporary product interventions Published: 26/11/2019
    Measures for 12 months from 1 January 2020 to address risks of consumer harm from the promotion of speculative mini-bonds to retail investors
  8. Temporary intervention on the marketing of speculative mini-bonds to retail investors

    Decisions and notices Temporary product interventions Published: 26/11/2019 Last modified: 26/11/2019
    We are introducing temporary rules to prevent consumer harm, by banning the promotion of high risk speculative mini-bonds to most retail consumers.
  9. Decision Notice: Stuart Malcolm Forsyth [pdf]

    Decision notices Published: 18/11/2019
    This Decision Notice refers to breaches of APER1 and FIT related to a lack of fitness/propriety in the insurance sector. Our view is that a prohibition and financial penalty should be imposed.
  10. Notice of Undertaking: The Co-operative Bank p.l.c. (trading as Platform) [pdf]

    Undertakings Published: 26/09/2019
    The FCA has published an undertaking from The Co-operative Bank p.l.c. (trading as Platform) in relation to a term in Platform’s mortgage contracts. The undertaking has been provided under the Consumer Rights Act 2015 (CRA).