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Showing 61 to 70 of 249 search results.

  1. FCA Decision Notice 2016: Wage Payment and Payday Loans Limited [pdf]

    Decision notices Published: 14/07/2016 Last modified: 14/07/2016
    This decision notice refers to breaches of COND related to failing to satisfy Threshold Conditions in the consumer credit sector. We have decided to impose a cancellation.
  2. FCA Decision Notice 2016: Money Matcher Limited [pdf]

    Decision notices Published: 03/05/2016
    This decision notice refers to the FCA’s belief that Money Matcher Limited (a debt management firm) does not meet the minimum standard for authorisation to carry on regulated activities, due to the FCA’s concerns related to appropriate
  3. FCA decision notice 2016: Arif Hussein [pdf]

    Decision notices Published: 14/04/2016 Last modified: 14/04/2016
    This decision notice refers to breaches of FIT related to a lack of fitness/propriety in the investment bank sector. Our view is that a prohibition should be imposed.
  4. FCA further decision notice 2016: Tariq Carrimjee [pdf]

    Decision notices Published: 05/02/2016 Last modified: 23/02/2016
    This further decision notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. Our view is that a prohibition should be imposed.
  5. 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.
  6. 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.
  7. FCA decision notice 2015: Charles Palmer [pdf]

    Decision notices Published: 11/12/2015 Last modified: 11/12/2015
    This decision notice refers to breaches of APER 6 and FIT related to appointed representatives, culture/governance, lack of fitness/propriety and unfair treatment of customers in the investment adviser sector. Our view is that a financial penalty
  8. Notice of Decision to Cancel: Dentons Consultants Limited [pdf]

    Cancellation notices Published: 26/10/2015 Last modified: 26/10/2015
    This notice of decision refers to a breach of the Money Laundering Regulations 2007 in the Wealth Management and Private Banking and Investment Advisor sector. We imposed a cancellation.
  9. FCA Decision Notice 2015: B E Insulated Limited [pdf]

    Decision notices Published: 04/09/2015 Last modified: 04/09/2015
    This decision notice refers to breaches of COND and CONC related to failing to be open and co-operative in the Consumer Credit sector. We imposed a refusal.
  10. Voluntary Application for Imposition of Requirement: Preferred Mortgages Limited [pdf]

    Requirement notices Published: 01/07/2015 Last modified: 01/07/2015