Publications
Search results
Decision notices
Warning notices
Supervisory notices
Temporary product interventions
Waivers and CRR notices
Clear all filters
Showing 51 to 60 of 359 search results.
-
FCA First Supervisory Notice 2017: Larksway Investments Limited [pdf]
-
FCA Second Supervisory Notice 2017: Larksway Investments Limited [pdf]
-
Warning notice statement 17/5 – Firm [pdf]
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. -
Re-issued First Supervisory Notice: Stargate Capital Management Limited and Stargate Corporate Finance Ltd [pdf]
-
Decision Notice 2017: Nationwide Debt Consultants Limited [pdf]
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. -
Warning notice statement 17/4 – Individual [pdf]
The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 26 January 2017 proposing to take action in respect of the conduct summarised in this statement. -
Warning notice statement 17/3 – Individual [pdf]
The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 26 January 2017 proposing to take action in respect of the conduct summarised in this statement. -
Warning notice statement 17/2 – Individual [pdf]
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. -
Decision Notice 2017: Church Hill Finance (Anthony Badaloo trading as) [pdf]
This decision notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the investment adviser sector. Our view is that a cancellation should be imposed. -
First Supervisory Notice: Bank House Investment Management Limited [pdf]