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Final Notice 2024: Saranac Partners Limited [pdf]
This final notice refers to the FCA’s refusal of the Applicant’s application under section 60 of FSMA for approval of an individual to perform the Senior Manager functions of SMF1 (Chief Executive function) and SMF3 (Executive Director function). -
Final Notice 2024: Luke Williams [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2024: PricewaterhouseCoopers LLP [pdf]
This Final Notice (PricewaterhouseCoopers LLP) refers to the breach of Regulation 2 of the Financial Services and Markets Act 2000 (Communications by Auditors) Regulations 2001 (SI 2001/2587) related to failing to act on information appropriately in -
Final Notice 2024: Apex Money Limited [pdf]
This final notice refers to breaches of Payment Services Regulations 2017 related to a failure to meet the conditions of registration. We imposed a cancellation. -
Final Notice 2024: MacIntyre Hudson LLP [pdf]
This Final Notice (MacIntyre Hudson LLP) refers to breaches of rules contained in SUP 3.10 which relate to the duties of auditors when reporting on client assets. The FCA imposed a public censure. -
Final Notice 2024: Forex TB Limited [pdf]
This Final Notice refers to breaches of Principle 6 and Section 20 FSMA related to the unfair treatment of customers and failing to operate in accordance with permission while operating under the Temporary Permissions Regime. We imposed a financial -
Final Notice 2024: Martin Christopher Sarl [pdf]
This Final Notice refers to breaches of Statement of Principle 1 and FIT 2.1 related to a lack of honesty and integrity in the General Insurance and Protection sector. We imposed a financial penalty of £5,021, a prohibition and withdrawal. -
Final Notice 2024: Leeds Money Transfer Limited [pdf]
This Final Notice refers to a failure to carry on payment service activities. We imposed a cancellation. -
Final Notice 2024: Equitrade Markets Ltd [pdf]
This final notice 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 investments sector. We imposed a cancellation. -
Final Notice 2024: H2O AM LLP (H2O) [pdf]
This Final Notice (H2O AM LLP (H2O)) refers to a failure: to act with due skill, care and diligence; as an AMF to ensure a high level of diligence in the selection of scheme property and to act in the best interest of the scheme and its unitholders;