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Showing 41 to 50 of 489 search results.

  1. First Supervisory Notice 2019: Coutts Automobiles Limited [pdf]

    Supervisory notices Published: 25/01/2019
    This first supervisory notice refers to a failure to satisfy the suitability threshold condition (COND) and breaches of PRIN. We varied the firm’s permission.
  2. First Supervisory Notice 2019: Organic Investment Management Limited [pdf]

    Supervisory notices Published: 16/01/2019
    This first supervisory notice (Organic Investment Management Limited) refers to a failure to satisfy the appropriate resources threshold condition (COND) and breaches of SYSC. We imposed requirements on the firm.
  3. 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.
  4. Second Supervisory Notice 2018: P.F. (International) Limited [pdf]

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

    Supervisory notices Published: 17/10/2018
  6. 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.
  7. 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
  8. First Supervisory Notice 2018: Total Debt Relief Ltd [pdf]

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

    Supervisory notices Published: 02/08/2018
  10. 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.