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  1. Second Supervisory Notice 2020: BBP Bandenia PLC [pdf]

    Supervisory notices Published: 16/04/2020
    Second Supervisory Notice issued to BBP Bandenia PLC.
  2. Final Notice 2020: Custom and Co Jewellery Ltd [pdf]

    Final notices Published: 09/04/2020
    This final notice (Custom and Co Jewellery Ltd) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.
  3. Final Notice 2020: Neil Bartlett [pdf]

    Final notices Published: 08/04/2020
    This Final Notice (Neil Bartlett) refers to failure to meet the criteria in FIT. We imposed a prohibition.
  4. Final Notice 2020: Awesome 3 Limited [pdf]

    Final notices Published: 25/03/2020
    This final notice (Awesome 3 Limited) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.
  5. Further Final Notice 2020: Robert Ian Shaw [pdf]

    Final notices Published: 23/03/2020
    This Final Notice (Robert Ian Shaw) refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety and conflicts of interest in the Investment Adviser and Pensions sector. We imposed a financial penalty, a prohibition and withdrawal.
  6. Further Final Notice 2020: Lloyd Arnold Pope [pdf]

    Final notices Published: 23/03/2020
    This Final Notice (Lloyd Arnold Pope) refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety and conflicts of interest in the Investment Adviser and Pensions sector. We imposed a financial penalty, a prohibition and withdrawal.
  7. 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.
  8. 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.
  9. First Supervisory Notice 2020: Uncle Buck Finance LLP [pdf]

    Supervisory notices Published: 19/03/2020
    First Supervisory Notice 2020: Uncle Buck Finance LLP
  10. Final Notice 2020: Ballooner Limited [pdf]

    Final notices Published: 25/02/2020
    This final notice (Ballooner Limited) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.