Showing 1 to 10 of 230 search results

1. 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.

2. 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.

3. 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.

4. 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.

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

   Supervisory notices Published: 27/11/2018

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

   Supervisory notices Published: 17/10/2018

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

   Supervisory notices Published: 16/08/2018

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

   Supervisory notices Published: 02/08/2018

9. Second Supervisory Notice: Stargate Capital Management Limited and Stargate Corporate Finance Ltd [pdf]

   Supervisory notices Published: 16/01/2018

10. FCA First Supervisory Notice 2017: Larksway Investments Limited [pdf]

    Supervisory notices Published: 29/11/2017