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Showing 21 to 30 of 472 search results

  1. Interim Prudential sourcebook for investment businesses (IPRU-INV) [pdf]

    Waivers and CRR notices Published: 30/04/2020 Last modified: 30/04/2020
    Waivers Interim Prudential sourcebook for investment businesses (IPRU-INV) - Sourcebook or manual to which waivers of rules apply
  2. Prudential sourcebook for Mortgage and Home Finance Firms, and Insurance Intermediaries (MIPRU) [pdf]

    Waivers and CRR notices Published: 30/04/2020 Last modified: 30/04/2020
    Prudential sourcebook for Mortgage and Home Finance Firms, and Insurance Intermediaries (MIPRU) - Sourcebook or manual to which waivers of rules apply
  3. Second Supervisory Notice 2020: BBP Bandenia PLC [pdf]

    Supervisory notices Published: 16/04/2020
    Second Supervisory Notice issued to BBP Bandenia PLC.
  4. 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.
  5. 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.
  6. First Supervisory Notice 2020: Uncle Buck Finance LLP [pdf]

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

    Supervisory notices Published: 18/02/2020
    Second Supervisory Notice for Rix Motor Company Limited (2020)
  8. 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.
  9. 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.
  10. Compensation (COMP) [pdf]

    Waivers and CRR notices Published: 16/01/2020 Last modified: 16/01/2020
    Waivers Compensation (COMP) - Sourcebook or manual to which waivers of rules apply