Publications

Clear all
Filter results
Expand / Collapse
Select year
Select date
Filter by document type

About 49 results.

  1. 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, COND and SYSC related to failing to be open and co-operative in the investment adviser sector. Our view is that a cancellation should be imposed.
  2. 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.
  3. 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...
  4. 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.
  5. 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.
  6. FCA Decision Notice 2016: KWS Wealth Management Limited [pdf]

    Decision notices Published: 15/07/2016 Last modified: 15/07/2016
    This decision notice refers to breaches of COND related to a lack of fitness/propriety in the investment advisor and wealth management sector. We decided to impose a cancellation.
  7. FCA Decision Notice 2016: Andrew Barry Hart [pdf]

    Decision notices Published: 14/07/2016 Last modified: 14/07/2016
    This decision notice refers to breaches of FIT related to a lack of fitness and propriety in the consumer credit sector. We have decided to impose a prohibition.
  8. FCA Decision Notice 2016: Wage Payment and Payday Loans Limited [pdf]

    Decision notices Published: 14/07/2016 Last modified: 14/07/2016
    This decision notice refers to breaches of COND related to failing to satisfy Threshold Conditions in the consumer credit sector. We have decided to impose a cancellation.
  9. FCA Decision Notice 2016: Money Matcher Limited [pdf]

    Decision notices Published: 03/05/2016
    This decision notice refers to the FCA’s belief that Money Matcher Limited (a debt management firm) does not meet the minimum standard for authorisation to carry on regulated activities, due to the FCA’s concerns related to appropriate resources/suitability. Our view (subject to the Tribunal’s determination) was that the Part 4A Application...
  10. FCA decision notice 2016: Arif Hussein [pdf]

    Decision notices Published: 14/04/2016 Last modified: 14/04/2016
    This decision notice refers to breaches of FIT related to a lack of fitness/propriety in the investment bank sector. Our view is that a prohibition should be imposed.