Showing 1 to 10 of 232 search results

1. Second Supervisory Notice 2020: Rix Motor Company Limited [pdf]

   Supervisory notices Published: 18/02/2020
   Second Supervisory Notice for Rix Motor Company Limited (2020)

2. 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.

3. First Supervisory Notice 2019: SVS Securities Plc [pdf]

   Supervisory notices Published: 08/08/2019
   This first supervisory notice refers to a failure to satisfy the suitability and appropriate resources threshold conditions (COND) and to breaches of SYSC, PROD and PRIN. We imposed requirements on the firm.

4. Second Supervisory Notice 2019: London Capital & Finance PLC [pdf]

   Supervisory notices Published: 28/02/2019 Last modified: 28/02/2019
   This second supervisory notice (London Capital & Finance PLC) refers to communications in relation to the firm's 'Fixed Rate ISA or Bond' which the FCA considers to be misleading, not fair, not clear and in breach of COBS 4.2.1R. We imposed requirements on the firm.

5. First Supervisory Notice 2019: Coutts Automobiles Limited [pdf]

   Supervisory notices Published: 25/01/2019
   This first supervisory notice refers to a failure to satisfy the suitability threshold condition (COND) and breaches of PRIN. We varied the firm’s permission.

6. First Supervisory Notice 2019: Organic Investment Management Limited [pdf]

   Supervisory notices Published: 16/01/2019
   This first supervisory notice (Organic Investment Management Limited) refers to a failure to satisfy the appropriate resources threshold condition (COND) and breaches of SYSC. We imposed requirements on the firm.

7. Second Supervisory Notice 2018: P.F. (International) Limited [pdf]

   Supervisory notices Published: 27/11/2018

8. First Supervisory Notice 2018: Exmoor Partners LLP (“Exmoor”) [pdf]

   Supervisory notices Published: 17/10/2018

9. First Supervisory Notice 2018: Total Debt Relief Ltd [pdf]

   Supervisory notices Published: 16/08/2018

10. First Supervisory Notice 2018: P.F. International Limited [pdf]

    Supervisory notices Published: 02/08/2018