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Showing 11 to 20 of 405 search results

  1. 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.
  2. First Supervisory Notice 2020: Uncle Buck Finance LLP [pdf]

    Supervisory notices Published: 19/03/2020
    First Supervisory Notice 2020: Uncle Buck Finance LLP
  3. Second Supervisory Notice 2020: Rix Motor Company Limited [pdf]

    Supervisory notices Published: 18/02/2020
    Second Supervisory Notice for Rix Motor Company Limited (2020)
  4. 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.
  5. Voluntary Application for the Imposition of Requirements: Zeux Ltd [pdf]

    Requirement notices Published: 10/02/2020
    Voluntary Application for the Imposition of Requirements: Zeux Ltd.
  6. Temporary intervention on the marketing of speculative mini-bonds to retail investors [pdf]

    Temporary product interventions Published: 26/11/2019
    Measures for 12 months from 1 January 2020 to address risks of consumer harm from the promotion of speculative mini-bonds to retail investors
  7. Temporary intervention on the marketing of speculative mini-bonds to retail investors

    Decisions and notices Temporary product interventions Published: 26/11/2019 Last modified: 26/11/2019
    We are introducing temporary rules to prevent consumer harm, by banning the promotion of high risk speculative mini-bonds to most retail consumers.
  8. Notice of Undertaking: The Co-operative Bank p.l.c. (trading as Platform) [pdf]

    Undertakings Published: 26/09/2019
    The FCA has published an undertaking from The Co-operative Bank p.l.c. (trading as Platform) in relation to a term in Platform’s mortgage contracts. The undertaking has been provided under the Consumer Rights Act 2015 (CRA).
  9. 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.
  10. Notice of Undertaking: ETA Services Ltd [pdf]

    Undertakings Published: 26/06/2019
    The FCA has published an undertaking from ETA Services Ltd in relation to an unclear term in its Cycle Insurance Policy. The undertaking has been provided under the Consumer Rights Act 2015 (CRA).