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Showing 1 to 10 of 445 search results.

  1. Consolidated list of waivers, modifications and CRR permissions granted [xlsx]

    Waivers and CRR notices Published: 25/09/2020 Last modified: 25/09/2020
    Consolidated list of waivers, modifications and CRR Permissions
  2. Decision Notice: Corrado Abbattista [pdf]

    Decision notices Published: 16/09/2020 Last modified: 16/09/2020
    This Decision Notice refers to a breach of Article 15 of the Market Abuse Regulation. Our view is that the individual is not fit and proper and therefore a financial penalty and a prohibition should be imposed.
  3. Decision Notice 2020: Eurofin Capital Ltd [pdf]

    Decision notices Published: 05/08/2020
    This decision notice (Eurofin Capital Ltd) refers to breaches of The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 related to failing to be open and co-operative in the trading firm sector.
  4. Decicion Notice 2020: Finelease – Leasing European SA [pdf]

    Decision notices Published: 05/08/2020
    This decision notice (Finelease – Leasing European SA) refers to breaches of The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 related to
  5. Decision Notice 2020: Conor Martin Foley [pdf]

    Decision notices Published: 03/07/2020
    Decision Notice 2020: Conor Martin Foley
  6. Second Supervisory Notice 2020: Perry Prowse (Insurance Consultants) Ltd [pdf]

    Supervisory notices Published: 29/06/2020
    Second Supervisory Notice for Perry Prowse (Insurance Consultants) Ltd.
  7. First Supervisory Notice 2020: Perry Prowse (Insurance Consultants) Ltd [pdf]

    Supervisory notices Published: 29/06/2020
    First Supervisory Notice for Perry Prowse (Insurance Consultants) Ltd.
  8. First supervisory notice 2020: F1 Markets Ltd [pdf]

    Supervisory notices Published: 01/06/2020
    This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing
  9. First supervisory notice 2020: Rodeler Ltd [pdf]

    Supervisory notices Published: 01/06/2020
    This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing
  10. First supervisory notice 2020: Hoch Capital Ltd [pdf]

    Supervisory notices Published: 01/06/2020
    This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing