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Showing 41 to 50 of 458 search results.

  1. Decision Notice 2018: Mohammad Ataur Rahman Prodhan [pdf]

    Decision notices Published: 04/12/2018
    This decision notice refers to an alleged breach of APER 6, and allegedly being knowingly concerned in a breach of PRIN 3 in relation to financial crime controls in the retail bank sector. We have proposed imposing a financial penalty.
  2. Second Supervisory Notice 2018: P.F. (International) Limited [pdf]

    Supervisory notices Published: 27/11/2018
  3. First Supervisory Notice 2018: Exmoor Partners LLP (“Exmoor”) [pdf]

    Supervisory notices Published: 17/10/2018
  4. Notice of Decision to Cancel: Housemaids4You Ltd [pdf]

    Cancellation notices Published: 16/10/2018
    This decision notice refers to the failure to pay a fee to the Authority required under The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017. Our view is that a cancellation should be imposed.
  5. Decision Notice 2018: Linear Investments Limited [pdf]

    Decision notices Published: 27/09/2018
    This decision notice refers to breaches of PRIN 3 related to market protection and market abuse in the trading firm sector. Our view is that a fine should be imposed. Linear has agreed the facts set out in the Notice, as well as liability for the
  6. First Supervisory Notice 2018: Total Debt Relief Ltd [pdf]

    Supervisory notices Published: 16/08/2018
  7. First Supervisory Notice 2018: P.F. International Limited [pdf]

    Supervisory notices Published: 02/08/2018
  8. Decision Notice 2018: Darren Lee Newton [pdf]

    Decision notices Published: 21/05/2018
    This decision notice (Darren Lee Newton) refers to breaches of FIT related to client money/assets and a lack of fitness/propriety in the consumer credit sector. Our view is that a prohibition should be imposed.
  9. Voluntary Application for Imposition of Requirements: Barclays Bank plc [pdf]

    Requirement notices Published: 11/05/2018
  10. Voluntary Application for Imposition of Requirements: Barclays Bank UK plc [pdf]

    Requirement notices Published: 11/05/2018