Publications

Showing 21 to 30 of 204 search results for interventions.

21. First Supervisory Notice 2023: Harvest Associates Ltd [pdf]

    Supervisory notices

    Published: 05/06/2023

    For the reasons given in this First Supervisory Notice, and pursuant to section 55L(3)(a) of the Financial Services and Markets Act 2000, the FCA has decided to impose the following requirements on Harvest Associates Ltd with immediate effect.

22. First Supervisory Notice 2023: Alpha Financial Services [pdf]

    Supervisory notices

    Published: 05/06/2023

    For the reasons given in this First Supervisory Notice, and pursuant to section 55L(3)(a) of the Financial Services and Markets Act 2000, the FCA has decided to impose the following requirements on Alpha Financial Services with immediate effect.

23. First Supervisory Notice 2023: QED Financial Associates Ltd [pdf]

    Supervisory notices

    Published: 05/06/2023

    For the reasons given in this First Supervisory Notice, and pursuant to section 55L(3)(a) of the Financial Services and Markets Act 2000, the FCA has decided to impose the following requirements on QED Financial Associates Ltd with immediate effect.

24. First Supervisory Notice 2023: David Stock & Co Limited [pdf]

    Supervisory notices

    Published: 19/05/2023

    For the reasons given in this First Supervisory Notice, and pursuant to section 55L(3)(a) of the Financial Services and Markets Act 2000, the Financial Conduct Authority has decided to impose the following requirements on David Stock & Co Limited

25. Second Supervisory Notice: Symmetric Systems Limited [pdf]

    Supervisory notices

    Published: 10/05/2023

    For the reasons given in this Notice, the Authority has decided not to rescind the Requirements set out below at paragraph 1.3 which were imposed on Symmetric Systems Limited, trading as Bank-Smart, and notified to it in the First Supervisory Notice

26. First Supervisory Notice 2023: Monneo Ltd [pdf]

    Supervisory notices

    Published: 04/05/2023

    For the reasons given in this First Supervisory Notice, the FCA has decided to vary the authorisation granted to Monneo by imposing the following requirements on the firm with immediate effect.

27. First Supervisory Notice 2023: CFS Management Ltd [pdf]

    Supervisory notices

    Published: 20/04/2023

    For the reasons given in this First Supervisory Notice, the Financial Conduct Authority has decided to impose the following conditions on CFS Management Ltd,

28. First Supervisory Notice 2023: Lisa Maureen Campbell and Campbell & Associates Independent Financial Advice Limited [pdf]

    Supervisory notices

    Published: 04/04/2023

    For the reasons given in this First Supervisory Notice, the Financial Conduct Authority has decided to impose the following conditions on Lisa Campbell’s approval as a senior manager at Campbell & Associates Independent Financial Advice Limited

29. First Supervisory Notice 2023: Independently East Limited [pdf]

    Supervisory notices

    Published: 22/03/2023

    For the reasons given in this First Supervisory Notice, the Financial Conduct Authority has decided to impose on Independently East Limited a variation of the Firm’s Part 4A permission to perform regulated activities.

30. First Supervisory Notice 2023: Roark Holdings Ltd [pdf]

    Supervisory notices

    Published: 13/03/2023

    For the reasons given in this First Supervisory Notice, and pursuant to regulation 12(1) of the Payment Services Regulations 2017, the Financial Conduct Authority has decided to vary the authorisation granted to Roark Holdings Ltd pursuant to Part 2