To help ensure greater transparency in the Sponsor regime, below is a record of published statutory notices we have issued to sponsor firms.
| Date Published | Sponsor Firm | Description of Notice |
|---|---|---|
| 29/07/2024 | Dickson Minto Advisers LLP[1] | Following a request received from the Sponsor Firm, the FCA hereby limits and restricts the services to which the sponsor approval of the Sponsor Firm relates, such that the Sponsor Firm may provide sponsor services solely to a company listed or applying for listing on the Official List in the listing category closed-ended investment funds. |
29/07/2024
| Howard Kennedy Corporate Services LLP[2] | Following a request received from the Sponsor Firm, the FCA hereby limits and restricts the services to which the sponsor approval of the Sponsor Firm relates, such that the Sponsor Firm may provide sponsor services solely to a company listed or applying for listing on the Official List in the listing category closed-ended investment funds. |
29/07/2024
| Winterflood Securities Limited (trading as Winterflood Investment Trusts)[3] | Following a request received from the Sponsor Firm, the FCA hereby limits and restricts the services to which the sponsor approval of the Sponsor Firm relates, such that the Sponsor Firm may provide sponsor services solely to a company listed or applying for listing on the Official List in the listing category closed-ended investment funds. |
| 22/04/2024 | Dickson Minto Advisers LLP[4] | Following a request received from the Sponsor Firm, the FCA hereby limits and restricts the services to which the sponsor approval of the Sponsor Firm relates, such that the Sponsor Firm may provide sponsor services solely to a company listed or applying for a listing on the Official List in the listing category premium listing (closed-ended investment fund) or premium listing (open-ended investment companies). |
| 08/08/2016 | Cenkos Securities Plc[5] | The FCA imposes on Cenkos Securities Plc a financial penalty of £530,500 for breaching its obligations under the Listing Rules 8.3.3R, 8.3.1AR and 8.6.6R. |
| 06/02/2015 | PricewaterhouseCoopers LLP[6] | Following a request received from the Sponsor Firm, the FCA hereby limits and restricts the services to which the sponsor approval of the Sponsor Firm relates, such that the Sponsor Firm may provide sponsor services solely to a company listed or applying for a listing on the Official List in the listing category premium listing (closed-ended investment fund) or premium listing (open-ended investment companies). |
| 18/12/2014 | Execution Noble & Company Limited[7] | The FCA imposes on Execution Noble & Company Limited a financial penalty of £231,000 for breaching its obligations under the Listing Rules 8.3.5R and 8.7.8R (1)(a). |
| 16/12/2013 | Dexion Capital plc[8] | Following a request received from the Sponsor Firm, the FCA hereby limits and restricts the services to which the sponsor approval of the Sponsor Firm relates, such that the Sponsor Firm may provide sponsor services solely to a company listed or applying for a listing on the Official List in the listing category premium listing (closed-ended investment fund) or premium listing (open-ended investment companies). |
| 16/12/2013 | Dickson Minto W.S.[9] | Following a request received from the Sponsor Firm, the FCA hereby limits and restricts the services to which the sponsor approval of the Sponsor Firm relates, such that the Sponsor Firm may provide sponsor services solely to a company listed or applying for a listing on the Official List in the listing category premium listing (closed-ended investment fund) or premium listing (open-ended investment companies). |
| 16/12/2013 | Howard Kennedy Corporate Services LLP[10] | Following a request received from the Sponsor Firm, the FCA hereby limits and restricts the services to which the sponsor approval of the Sponsor Firm relates, such that the Sponsor Firm may provide sponsor services solely to a company listed or applying for a listing on the Official List in the listing category premium listing (closed-ended investment fund) or premium listing (open-ended investment companies). |
| 16/12/2013 | Winterflood Securities Limited (trading as Winterflood Investment Trusts)[11] | Following a request received from the Sponsor Firm, the FCA hereby limits and restricts the services to which the sponsor approval of the Sponsor Firm relates, such that the Sponsor Firm may provide sponsor services solely to a company listed or applying for a listing on the Official List in the listing category premium listing (closed-ended investment fund) or premium listing (open-ended investment companies). |
| 26/05/2011 | BDO LLP[12] | The FSA publishes a statement in the form of a Final Notice censuring BDO for contravening Listing Rule 8.3.3R in relation to BDO’s failure to act with due care and skill in relation to a sponsor service, and Listing Rule 8.3.5(1)R in relation to BDO’s failure to deal with the FSA in an open and co-operative way. |
: System update No changes to content.
: Information added links to previous final notices added
: Information changed Winterflood Securities Limited, Howard Kennedy Corporate Services LLP and Dickson Minto Advisers LLP
: Information added Dickson Minto Advisers LLP