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Showing 41 to 50 of 405 search results

  1. Re-issued First Supervisory Notice: Stargate Capital Management Limited and Stargate Corporate Finance Ltd [pdf]

    Supervisory notices Published: 07/07/2017
  2. Proposed undertakings in lieu of a market investigation [pdf]

    Undertakings Published: 28/06/2017
    Reference given to the FCA by each of AON Hewitt, Mercer and Willis Towers Watson
  3. Warning notice statement 17/4 – Individual [pdf]

    Warning notices Published: 24/02/2017
    The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 26 January 2017 proposing to take action in respect of the conduct summarised in this statement.
  4. Warning notice statement 17/3 – Individual [pdf]

    Warning notices Published: 24/02/2017
    The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 26 January 2017 proposing to take action in respect of the conduct summarised in this statement.
  5. CPP supplemental VREQ template [pdf]

    Requirement notices Published: 22/02/2017
  6. CPP supplemental VREQ pro forma [pdf]

    Requirement notices Published: 22/02/2017
  7. Warning notice statement 17/2 – Individual [pdf]

    Warning notices Published: 06/02/2017
    The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 17 January 2017 proposing to take action in respect of the conduct summarised in this statement.
  8. First Supervisory Notice: Bank House Investment Management Limited [pdf]

    Supervisory notices Published: 17/01/2017
  9. Warning notice statement 17/1 – Individual [pdf]

    Warning notices Published: 13/01/2017
    The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 12 December 2016 proposing to take action in respect of the conduct summarised in this statement.
  10. Notice of Decision to Cancel: Murrayfield Management Limited [pdf]

    Cancellation notices Published: 27/09/2016
    This decision notice refers to breaches of money laundering regulations 2007 related to failing to be open and co-operative in the trading firm sector. Our view is that a cancellation should be imposed.