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Showing 81 to 90 of 458 search results.

  1. 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.
  2. 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
  3. 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.
  4. 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.
  5. FCA First Supervisory Notice 2015: A.G.L (S.J.) Investments Limited (formerly Atia Group Limited) [pdf]

    Supervisory notices Published: 12/08/2015 Last modified: 12/08/2015
  6. FCA First Supervisory Notice 2015: Daniel Chandler Limited [pdf]

    Supervisory notices Published: 02/07/2015 Last modified: 02/07/2015
  7. Voluntary Application for Imposition of Requirement: Preferred Mortgages Limited [pdf]

    Requirement notices Published: 01/07/2015 Last modified: 01/07/2015
  8. Voluntary Application for Imposition of Requirement: Southern Pacific Mortgage Limited [pdf]

    Requirement notices Published: 01/07/2015 Last modified: 01/07/2015
  9. Voluntary Application for Imposition of Requirement: PDHL Limited [pdf]

    Requirement notices Published: 17/06/2015 Last modified: 17/06/2015
  10. IRHP s166 requirement notice [pdf]

    Requirement notices Published: 15/06/2015 Last modified: 03/08/2016