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  1. Second Supervisory Notice 2020: Rix Motor Company Limited [pdf]

    Supervisory notices Published: 18/02/2020
    Second Supervisory Notice for Rix Motor Company Limited (2020)
  2. 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.
  3. 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.
  4. New Collective Investment Schemes (Waivers) [pdf]

    Waivers and CRR notices Published: 16/01/2020 Last modified: 16/01/2020
  5. Prudential sourcebook for Investment Firms (Waivers) [pdf]

    Waivers and CRR notices Published: 16/01/2020 Last modified: 04/09/2019
  6. Supervision (SUP) [pdf]

    Waivers and CRR notices Published: 16/01/2020 Last modified: 16/01/2020
    Waivers Supervision (SUP) - Sourcebook or manual to which waivers of rules apply
  7. Compensation (COMP) [pdf]

    Waivers and CRR notices Published: 16/01/2020 Last modified: 16/01/2020
    Waivers Compensation (COMP) - Sourcebook or manual to which waivers of rules apply
  8. Credit Unions (CRED) [pdf]

    Waivers and CRR notices Published: 16/01/2020 Last modified: 16/01/2020
    Credit Unions (CRED) - Sourcebook or manual to which waivers of rules apply
  9. Client Assets (CASS) [pdf]

    Waivers and CRR notices Published: 16/01/2020 Last modified: 04/09/2019
    Waivers Client Assets (CASS) - Sourcebook or manual to which waivers of rules apply
  10. General Prudential (GENPRU) [pdf]

    Waivers and CRR notices Published: 16/01/2020 Last modified: 16/01/2020
    Waivers General Prudential (GENPRU) - Sourcebook or manual to which waivers of rules apply