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Final Notice 2024: Steven Harbinder Singh Sahota [pdf]
This Final Notice refers to breaches of APER 1 related to conduct in the pensions sector. We imposed a prohibition and financial penalty. -
Final Notice 2024: Kyle Anthony Jones [pdf]
This Final Notice refers to breaches of APER 1 related to conduct in the pensions sector. We imposed a prohibition and financial penalty. -
Final Notice 2024: Winterflood Securities Limited [pdf]
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 -
Final Notice July 2024: Dickson Minto Advisers LLP [pdf]
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 -
Final Notice 2024: Howard Kennedy Corporate Services LLP [pdf]
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 -
Final Notice 2024: Usman Qureshi [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: Jacqueline Turner [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. -
Final Notice 2024: Geoffrey Bernard Turner [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the consumer credit sector. We imposed a prohibition -
Final Notice 2024: CB Payments Limited [pdf]
This Final Notice refers to a breach of Statement of Principle 2 related to breaches of voluntary requirements (VREQ) in the e-money sector. The FCA imposed a financial penalty of £3,503,546. -
Final Notice 2024: Clive Harris Mongelard [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.”