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Showing 41 to 50 of 370 search results.

  1. CPP supplemental VREQ pro forma [pdf]

    Requirement notices Published: 22/02/2017
  2. Warning notice statement 17/2 – Individual [pdf]

    Warning notices Published: 06/02/2017
    The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 17 January 2017 proposing to take action in respect of the conduct summarised in this statement.
  3. First Supervisory Notice: Bank House Investment Management Limited [pdf]

    Supervisory notices Published: 17/01/2017
  4. Warning notice statement 17/1 – Individual [pdf]

    Warning notices Published: 13/01/2017
    The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 12 December 2016 proposing to take action in respect of the conduct summarised in this statement.
  5. Notice of Decision to Cancel: Murrayfield Management Limited [pdf]

    Cancellation notices Published: 27/09/2016
    This decision notice refers to breaches of money laundering regulations 2007 related to failing to be open and co-operative in the trading firm sector. Our view is that a cancellation should be imposed.
  6. AI Scheme second supplemental VREQ application [pdf]

    Requirement notices Published: 22/08/2016 Last modified: 23/08/2016
  7. AI Scheme second supplemental VREQ application: Bank/ card provider [pdf]

    Requirement notices Published: 22/08/2016 Last modified: 23/08/2016
  8. FCA Second Supervisory Notice 2016: Vantage Investment Group Limited [pdf]

    Supervisory notices Published: 22/07/2016 Last modified: 22/07/2016
  9. Warning notice statement 16/2 – Individual [pdf]

    Warning notices Published: 21/01/2016 Last modified: 21/01/2016
    The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 19 November 2015 proposing to take action in respect of the conduct summarised in this statement.
  10. Warning notice statement 16/1 – Individual [pdf]

    Warning notices Published: 11/01/2016 Last modified: 11/01/2016
    The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 7 December 2015 proposing to take action in respect of the conduct summarised in this statement.