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  1. Notice of Decision 2024: AKJ Motorsport Ltd [pdf]

    Decision notices Published: 06/09/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  2. Final Notice 2024: Alec John Cuthbert [pdf]

    Final notices Published: 06/09/2024
    This Final Notice (Alec John Cuthbert) refers to a breach of APER Statement of Principle 1 and lack of fitness and propriety related to the reckless design and operation of a pension transfer advice model in the pensions sector. We imposed a

  3. Notice of Decision 2024: J U Autos UK Ltd [pdf]

    Decision notices Published: 06/09/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. 

  4. Decision Notice 2024: Frank Edwin Oxberry [pdf]

    Decision notices Published: 06/09/2024
    This Decision Notice (Frank Edwin Oxberry) refers to a breach of APER Statement of Principle 1 and lack of fitness and propriety related to the reckless design and operation of a pension transfer advice model in the pensions sector. Our view is that

  5. Decision Notice 2024: Liam Patrick George Martin [pdf]

    Decision notices Published: 06/09/2024
    This Decision Notice (Liam Patrick George Martin) refers to a breach of APER Statement of Principle 1 related to the reckless design of a pension transfer advice model in the pensions sector and a lack of fitness and property in designing and

  6. Decision Notice 2024: Adrian Stuart Westbrook Douglas [pdf]

    Decision notices Published: 06/09/2024
    This Decision Notice (Adrian Stuart Westbrook Douglas) refers to a breach of APER Statement of Principle 1 related to the reckless design of a pension transfer advice model in the pensions sector and a lack of fitness and property in designing and

  7. Notice of Decision 2024: CFG (Commercial Finance Group) Limited [pdf]

    Decision notices Published: 06/09/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  8. Final Notice 2024: Saranac Partners Limited [pdf]

    Final notices Published: 06/09/2024
    This final notice refers to the FCA’s refusal of the Applicant’s application under section 60 of FSMA for approval of an individual to perform the Senior Manager functions of SMF1 (Chief Executive function) and SMF3 (Executive Director function).

  9. CP24/18: Quarterly Consultation Paper No. 45

    Consultation papers Published: 06/09/2024 Last modified: 06/09/2024
    Once a quarter, we consult on proposed miscellaneous amendments to our Handbook. These tend to be minor changes but we still want your feedback on our proposals.

  10. Principal firms embedding the new rules for effective appointed representative oversight: Good practice and areas for improvement

    Good and poor practice Published: 06/09/2024 Last modified: 06/09/2024
    Our findings on how firms are embedding new AR rules and examples of good practice and areas for improvement for firms to consider.