Publications

Showing 271 to 280 of 3613 search results.

271. Final Notice 2023: Bastion Capital London Limited [pdf]

     Final notices

     Published: 13/07/2023

     This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty.

272. Final Notice 2023: Houghton Motor Group Ltd [pdf]

     Final notices

     Published: 12/07/2023

     This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the Credit Broking sector. We refused the firm’s application for authorisation.

273. Final Notice 2023: West Buy Limited [pdf]

     Final notices

     Published: 07/07/2023

     This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the credit broking sector. We refused the firm’s application for authorisation.

274. Final Notice 2023: Mr Paul Steel [pdf]

     Final notices

     Published: 04/07/2023

     This Final Notice refers to breaches of APER 1, 2 and 4, and COCON 1 and 3 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a financial penalty and a prohibition.

275. Final Notice 2023: Denis Lee Morgan [pdf]

     Final notices

     Published: 28/06/2023

     This Final Notice refers to breaches of FIT related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a prohibition and withdrawal of approvals.

276. Final Notice 2023: Giovanni Automobili ltd [pdf]

     Final notices

     Published: 28/06/2023

     Final notice issued against Giovanni Automobili ltd.

277. Final Notice 2023: Mark Antony Abley [pdf]

     Final notices

     Published: 26/06/2023

     This Final Notice refers to breaches of APER 2 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a financial penalty and a partial prohibition.

278. Final Notice 2023: ED&F Man Capital Markets Limited [pdf]

     Final notices

     Published: 05/06/2023

     This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to wholesale conduct in the trading firm sector. Our view is that a financial penalty should be imposed.

279. Final Notice 2023: Kingsbridge Capital Advisors Limited [pdf]

     Final notices

     Published: 25/05/2023

     This Final Notice (Kingsbridge Capital Advisors Limited) 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 investment adviser sector. We imposed a

280. Final Notice 2023: Columbus Legal Limited [pdf]

     Final notices

     Published: 23/05/2023

     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 General Insurance and investment adviser sector. We imposed a cancellation.