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  1. Final Notice 2016: Ross Tony Peters [pdf]

    Final notices

    Published: 01/11/2016

    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  2. Final Notice 2016: Aaron Lee Petrou [pdf]

    Final notices

    Published: 01/11/2016

    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  3. FCA Q2 16/17 Number of skilled person reports commissioned [pdf]

    Data

    Published: 01/11/2016

    Under the Financial Services and Markets Act, as amended by the 2012 Act, the FCA has the power to obtain a view from a third party (a ‘skilled person’) about aspects of a regulated firm's activities if it is concerned or wants further analysis.

  4. FOI4725 response [pdf]

    FOI releases

    Published: 31/10/2016

  5. FOI4613 response [pdf]

    FOI releases

    Published: 31/10/2016

  6. FOI4586 response [pdf]

    FOI releases

    Published: 31/10/2016

  7. FOI4559 response [pdf]

    FOI releases

    Published: 31/10/2016

  8. FOI4681 response [pdf]

    FOI releases

    Published: 31/10/2016

  9. FOI4726 response [pdf]

    FOI releases

    Published: 31/10/2016

  10. FOI4696 response [pdf]

    FOI releases

    Published: 31/10/2016

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