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Showing 51 to 60 of 486 search results.

  1. Voluntary Application for Imposition of Requirements: Barclays Bank UK plc [pdf]

    Requirement notices Published: 11/05/2018
  2. 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
  3. 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
  4. 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.
  5. 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.
  6. Second Supervisory Notice: Stargate Capital Management Limited and Stargate Corporate Finance Ltd [pdf]

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

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

    Supervisory notices Published: 29/11/2017
  9. Notice of Undertaking: PPRO Financial Limited [pdf]

    Undertakings Published: 03/10/2017
  10. 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.