Publications

Filter results
Expand / Collapse
Filter by document type
Filter by year
Sort by:

Search results

Showing 21 to 30 of 230 search results

  1. FCA First Supervisory Notice 2015: Andrew Baxter [pdf]

    Supervisory notices Published: 05/02/2015 Last modified: 05/02/2015
  2. FCA First Supervisory Notice 2015: LQD Markets (UK) Limited [pdf]

    Supervisory notices Published: 29/01/2015 Last modified: 29/01/2015
  3. FCA First Supervisory Notice 2014: AMI Professional Services Limited [pdf]

    Supervisory notices Published: 01/08/2014 Last modified: 02/09/2014
  4. FCA Second Supervisory Notice 2014: Mark Ian Warner trading as Advanced Financial Management [pdf]

    Supervisory notices Published: 17/04/2014 Last modified: 14/06/2014
  5. FCA Second Supervisory Notice 2014: SK8 Financial Services Limited [pdf]

    Supervisory notices Published: 27/03/2014 Last modified: 14/06/2014
    For the reasons given below, having taken into account the representations made by the firm and pursuant to section 55J of the Act, the Authority has decided not to rescind the variation of the permission granted to SK8 pursuant to Part 4A of the Act.
  6. FCA First Supervisory Notice 2014: Mark Ian Warner trading as Advanced Financial Management [pdf]

    Supervisory notices Published: 21/03/2014 Last modified: 14/06/2014
  7. FCA First Supervisory Notice 2013: Hartmann Capital Limited [pdf]

    Supervisory notices Published: 24/12/2013 Last modified: 14/06/2014
  8. FCA First Supervisory Notice 2013: SK8 Financial Services Limited [pdf]

    Supervisory notices Published: 10/12/2013 Last modified: 14/06/2014
    For the reasons given below and pursuant to section 55J of the Act, the Authority has decided to vary the permission granted to SK8 Financial Services Limited (“SK8”) pursuant to Part 4A of the Act, by removing all regulated activities with immediate effect.
  9. FCA First Supervisory Notice 2013: Catalyst Fund Management [pdf]

    Supervisory notices Published: 01/10/2013 Last modified: 14/06/2014
  10. FCA Second Supervisory Notice 2013: Noel Norbert Walker trading as Walkers Financial Planning [pdf]

    Supervisory notices Published: 19/09/2013 Last modified: 14/06/2014