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Notice of Decision 2024: HIM London Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Final Notice 2024: Clive Harris Mongelard [pdf]
“This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.” -
[zip]
Investing using a credit card video -
Notice of Decision 2024: HN PERFORMANCE GROUP LTD [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: Mojo Automobile Solutions Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Information on End of Year performance ratings - July 2024
FCA provides information on End of Year performance ratings. -
FCA Technical Note: Sponsors: Record Keeping Requirements [pdf]
Sponsor’s record keeping obligations. -
FCA Technical Note: FCA reviews of sponsor services [pdf]
Our overall approach to supervising sponsors. -
FCA Technical Note: Responsibilities of a sponsor: Specialist due diligence [pdf]
Sponsors are expected to be knowledgeable in the listing rules, prospectus rules and disclosure requirements and transparency rules. -
PS24/6: Primary Markets Effectiveness Review: Feedback to CP23/31 and final UK Listing Rules [pdf]
Primary Markets Effectiveness Review: Feedback to CP23/31 and final UK Listing Rules.