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Showing 51 to 60 of 446 search results.

  1. 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
  2. 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.
  3. 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.
  4. Second Supervisory Notice: Stargate Capital Management Limited and Stargate Corporate Finance Ltd [pdf]

    Supervisory notices Published: 16/01/2018
  5. FCA First Supervisory Notice 2017: Larksway Investments Limited [pdf]

    Supervisory notices Published: 29/11/2017
  6. FCA Second Supervisory Notice 2017: Larksway Investments Limited [pdf]

    Supervisory notices Published: 29/11/2017
  7. Warning notice statement 17/5 – Firm [pdf]

    Warning notices Published: 15/08/2017
    The Financial Conduct Authority (the FCA) gave Interactive Brokers (UK) Ltd (IBUK) a warning notice on 25 July 2017 proposing to take action in respect of the conduct summarised in this statement.
  8. Voluntary Application for Imposition of Requirement: The Mortgage Matters Partnership [pdf]

    Requirement notices Published: 03/08/2017
  9. Re-issued First Supervisory Notice: Stargate Capital Management Limited and Stargate Corporate Finance Ltd [pdf]

    Supervisory notices Published: 07/07/2017
  10. Decision Notice 2017: Nationwide Debt Consultants Limited [pdf]

    Decision notices Published: 09/05/2017
    This decision notice refers to breaches of COND, CONC and SYSC related to threshold conditions in the consumer credit sector. Our view is that a refusal should be imposed.