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Final notice 2020: James Creed & Acsar Shazadi & Anzelika Lazdovskaja Ltd [pdf]
This final notice (James Creed & Acsar Shazadi & Anzelika Lazdovskaja Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
FCA Final Notice 2014: Chase de Vere Independent Financial Advisers Limited (formerly AWD Chase de Vere Limited) [pdf]
This final notice refers to breaches of PRIN 3, PRIN 7, SYSC, and COBS related to mis-selling in the investment adviser sector. We imposed a redress. -
Final Notice 2017: Elswick and Cruddas Park Credit Union Limited [pdf]
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the credit union sector. We imposed a cancellation. -
FCA fines RBS and NatWest for failures in mortgage advice process
This resulted in customers being placed at risk for an even longer period. ... The final notice for the firms. -
Operational Resilience
We set out the requirements of our policy and how to report an operational disruption. -
First Supervisory Notice 2019: Organic Investment Management Limited [pdf]
This first supervisory notice (Organic Investment Management Limited) refers to a failure to satisfy the appropriate resources threshold condition (COND) and breaches of SYSC. We imposed requirements on the firm. -
FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions
The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in -
Final Notice 2021: Jon Frensham (formerly known as Jonathan James Hunt) [pdf]
This Final Notice (Jon Frensham, formerly known as Jonathan James Hunt) refers to breaches of FIT by a financial adviser. We imposed a prohibition. -
Knowledge Base
The Knowledge Base is our source of technical guidance on our Listing Rules, Prospectus Regulation Rules and Disclosure and Transparency Rules. -
Moorhouse fined for failures in relation to its telephone sales
Moorhouse fined for failures in relation to its telephone sales. Press Releases First published:. ... The Final Notice for Moorhouse Group Limited.