Publications
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Final Notice 2025: Mr Peter Richard Mulvey [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety. We imposed a prohibition. -
Final Notice 2025: Amin Patel & Shah [pdf]
This Final Notice refers to a failure to satisfy the suitability threshold condition. We imposed a cancellation. -
Final Notice 2025: Institute of Certified Bookkeepers [pdf]
The Institute of Certified Bookkeepers were found to have breached certain provisions in the Money Laundering Regulations 2017. -
Final Notice 2025: The Dental Insurance Partnership Ltd [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND 2.5). We imposed a cancellation. -
Final Notice 2025: Vlada Hrkalovic [pdf]
This Final Notice refers to a failure to satisfy the suitability threshold condition (COND 2.5). We imposed a cancellation -
Final Notice 2025: Sherwood Oaks Leisure Limited [pdf]
This Final Notice refers to a failure to satisfy the suitability threshold condition (COND 2.5). We imposed a cancellation. -
Final Notice 2025: RS MOTOR HOUSE LTD [pdf]
This Final Notice refers to an application to annul the Authority’s decision to cancel a firm’s Part 4A permission. We refused the application. -
Final Notice 2025: Neil Sedgwick Dwane [pdf]
This Final Notice refers to breaches of market abuse related to Market Abuse Regulation in the Issuer sector. We imposed a financial penalty and prohibition. -
Final Notice 2025: BlueCrest Capital Management [pdf]
This Final Notice refers to a breach of Principle 8 related to conflicts of interest failings in the Asset Management sector. We imposed a public censure. -
Final Notice 2025: Jason Farrell t/a Courtyard Motor Company [pdf]
This Final Notice refers to a failure to satisfy the threshold condition (COND 2.5). We imposed a cancellation.