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About 58 results.

  1. Decision Notice 2018: Darren Lee Newton [pdf]

    Decision notices Published: 21/05/2018
    This decision notice (Darren Lee Newton) refers to breaches of FIT related to client money/assets and a lack of fitness/propriety in the consumer credit sector. Our view is that a prohibition should be imposed.
  2. Decision Notice 2018: Lewis Alexander Limited [pdf]

    Decision notices Published: 27/04/2018
    This decision notice (Lewis Alexander Limited) refers to the firm not demonstrating the level of cooperation that is expected of a regulated firm, meaning the FCA cannot satisfy itself that the firm will satisfy, and continue to satisfy threshold conditions in relation to effective supervision, appropriate resources and suitability.
  3. Decision Notice 2018: John Lawrence Radford [pdf]

    Decision notices Published: 26/01/2018
    This decision notice refers to breaches of APER 6 and APER 7 related to client money/assets in the general insurance and protection sector. Our view is that a fine and prohibition should be imposed.
  4. Decision Notice 2018: One Call Insurance Services Limited [pdf]

    Decision notices Published: 26/01/2018
    This decision notice refers to breaches of PRIN 10 and CASS related to client money/assets in the general insurance and protection sector. Our view is that a fine and restriction should be imposed.
  5. Decision Notice 2017: Nationwide Debt Consultants Limited [pdf]

    Decision notices Published: 09/05/2017
    This decision notice refers to breaches of COND, CONC and SYSC related to threshold conditions in the consumer credit sector. Our view is that a refusal should be imposed.
  6. 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.
  7. 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.
  8. 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...
  9. 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.
  10. FCA Decision Notice 2016: Andrew Tinney [pdf]

    Decision notices Published: 14/09/2016
    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.