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  1. Final Notice 2020: Hub Capital Limited (formerly known as Mex (Europe) Limited) [pdf]

    Final notices Published: 16/10/2020 Last modified: 15/10/2020
    This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the Asset Management sector and Investment Advisory sector. We imposed a cancellation.
  2. Final Notice 2020: The Trinity Column Partners LLP [pdf]

    Final notices Published: 16/10/2020 Last modified: 15/10/2020
    This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the Investment Advisory sector. We imposed a cancellation.
  3. Final Notice 2020: Blue Water Financial Limited [pdf]

    Final notices Published: 16/10/2020 Last modified: 15/10/2020
    This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the Consumer Credit sector, General Insurance Protection sector and Mortgages sector. We
  4. Final Notice 2020: Strattons of Bournemouth Used Car Sales Limited [pdf]

    Final notices Published: 16/10/2020 Last modified: 15/10/2020
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.
  5. Coronavirus and customers in financial difficulty: additional guidance for insurance and premium finance firms [pdf]

    Guidance consultations Published: 16/10/2020 Last modified: 15/10/2020
    This guidance (the October guidance) applies in the exceptional circumstances arising out of the coronavirus pandemic (Covid-19) and its impact on the financial situation of customers of insurance and premium finance involving regulated credit
  6. Final Notice 2020: Darren Evans (trading as BD Automotive and BD Performance) [pdf]

    Final notices Published: 16/10/2020 Last modified: 15/10/2020
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation
  7. Coronavirus and customers in financial difficulty: draft additional guidance for insurance and premium finance firms

    Guidance consultations Published: 16/10/2020 Last modified: 16/10/2020
    The FCA has announced annouces proposals to help customers who hold insurance and premium finance products and who continue to face financial difficulties because of coronavirus (Covid-19).
  8. Final Notice 2020: Asia Research and Capital Management Ltd [pdf]

    Final notices Published: 14/10/2020 Last modified: 14/10/2020
    This Final Notice refers to Asia Research and Capital Management’s failure to notify the FCA and disclose to the public its net short position in Premier Oil in breach of short selling disclosure rules. We have fined the firm £873,118.
  9. Data Attestations user guide [pdf]

    Systems information Published: 12/10/2020 Last modified: 09/10/2020
    This user guide helps firms to complete annual data attestations to confirm that the data maintained in the FS Register for their firm is complete and correct. This Attestation needs to be completed every 12 months.
  10. Final Notice 2020: John Butterfield [pdf]

    Final notices Published: 12/10/2020 Last modified: 09/10/2020
    This Final Notice (John Leonard Butterfield) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.