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Final Notice 2019: Stewart Owen Ford [pdf]
This final notice (Stewart Owen Ford) refers to breaches by an executive director of APER 1, APER 4 and FIT related to mis-selling, failing to be open and co-operative, a lack of fitness/propriety, conflicts of interest, and failing to act on -
Final Notice 2019: Mark John Owen [pdf]
This final notice (Mark John Owen) refers to breaches by an executive director of APER 1, APER 4 and FIT related to a lack of fitness/propriety and failing to act on information appropriately in the asset management sector. We imposed a fine and -
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. -
The FCA's response to the Complaints Commissioner's Report addendum to FCA00269 [pdf]
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CP19/2: Brexit and contractual continuity [pdf]
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CP19/1: Recovering the costs of regulating securitisation repositories after the UK leaves the European Union [pdf]
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Final Notice 2019: VantaBlack Group Limited [pdf]
This final notice (VantaBlack Group Limited) refers to failure to satisfy threshold conditions (COND), be open and co-operative with the Authority (PRIN 11), provide appropriate resources, be fit and proper, be ready willing and organised, and -
Final Notice 2019: Motor Mart Limited [pdf]
This final notice (Motor Mart Limited) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation. -
Final Notice 2019: GMN Car Sales Limited [pdf]
This final notice (GMN Car Sales Limited) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation. -
Sector Views - published January 2019 [pdf]
Our Sector Views consider a wide range of factors that are driving change across the financial system and bring our collective intelligence together. They provide an overall view of how each sector is performing based on the data available and our