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Final Notice 2017: Lukhvir Thind [pdf]
This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition. -
Final Notice 2017: Niall O’Kelly [pdf]
This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition. -
Financial Advice Market Review: progress report [pdf]
This publication from the FCA and HM Treasury details the progress made towards implementing the FAMR recommendations from the final report. -
Final Notice 2017: Gareth McCrone [pdf]
This final notice refers to breaches of PRIN related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
CP17/10: Credit card market study: consultation on persistent debt and earlier intervention remedies [pdf]
We are consulting on measures to address persistent credit card debt and require credit card firms to use their data to identify customers at risk of financial difficulties. In this document we also set out details of an industry voluntary agreement -
CP17/10 infographic: Proposed package of remedies [pdf]
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CP17/10 infographic: Helping customers in persistent debt [pdf]
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CP17/10: Consultation on persistent debt and earlier intervention remedies
We are consulting on measures to address persistent credit card debt and require credit card firms to use their data to identify customers at risk of financial difficulties. In this document we also set out details of an industry voluntary agreement -
Final Notice 2017: Reuben Cunningham [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2017: Stephen Moore [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.