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Showing 61 to 70 of 458 search results.

  1. Re-issued First Supervisory Notice: Stargate Capital Management Limited and Stargate Corporate Finance Ltd [pdf]

    Supervisory notices Published: 07/07/2017
  2. Proposed undertakings in lieu of a market investigation [pdf]

    Undertakings Published: 28/06/2017
    Reference given to the FCA by each of AON Hewitt, Mercer and Willis Towers Watson
  3. 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.
  4. CPP supplemental VREQ template [pdf]

    Requirement notices Published: 22/02/2017
  5. CPP supplemental VREQ pro forma [pdf]

    Requirement notices Published: 22/02/2017
  6. Decision Notice 2017: Church Hill Finance (Anthony Badaloo trading as) [pdf]

    Decision notices Published: 03/02/2017
    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.
  7. First Supervisory Notice: Bank House Investment Management Limited [pdf]

    Supervisory notices Published: 17/01/2017
  8. FCA Decision Notice 2016: Alistair Rae Burns [pdf]

    Decision notices Published: 01/12/2016
    This decision notice refers to breaches of APER 7 and FIT related to conflicts of interest, a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. Our view is that a fine, prohibition and withdrawal should be
  9. FCA Decision Notice 2016: Steven Maoudis trading as Montana Debt Management [pdf]

    Decision notices Published: 01/11/2016
    This decision notice refers to the FCA’s belief that Steven Maoudis trading as Montana Debt Management does not meet the minimum standards for authorisation to carry on regulated activities. Our view (subject to the Upper Tribunal’s determination
  10. 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.