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Showing 41 to 50 of 359 search results.

  1. First Supervisory Notice 2018: Exmoor Partners LLP (“Exmoor”) [pdf]

    Supervisory notices Published: 17/10/2018
  2. 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
  3. First Supervisory Notice 2018: Total Debt Relief Ltd [pdf]

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

    Supervisory notices Published: 02/08/2018
  5. 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.
  6. Decision Notice: Andrew Page (Director of FPL) [pdf]

    Decision notices Published: 09/05/2018
    This decision notice (Andrew Page (Director of FPL)) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that a
  7. Decision Notice 2018: Lewis Alexander Limited [pdf]

    Decision notices Published: 27/04/2018
    This decision notice (Lewis Alexander Limited) refers to the firm not demonstrating the level of cooperation that is expected of a regulated firm, meaning the FCA cannot satisfy itself that the firm will satisfy, and continue to satisfy threshold
  8. Decision Notice 2018: John Lawrence Radford [pdf]

    Decision notices Published: 26/01/2018
    This decision notice refers to breaches of APER 6 and APER 7 related to client money/assets in the general insurance and protection sector. Our view is that a fine and prohibition should be imposed.
  9. Decision Notice 2018: One Call Insurance Services Limited [pdf]

    Decision notices Published: 26/01/2018
    This decision notice refers to breaches of PRIN 10 and CASS related to client money/assets in the general insurance and protection sector. Our view is that a fine and restriction should be imposed.
  10. Second Supervisory Notice: Stargate Capital Management Limited and Stargate Corporate Finance Ltd [pdf]

    Supervisory notices Published: 16/01/2018