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Showing 71 to 80 of 204 search results for interventions.

  1. First Supervisory Notice 2021: ICC Intercertus Capital Limited [pdf]

    Supervisory notices

    Published: 26/05/2021

    This FSN (ICC Intercertus Capital Limited) concerns the FCA’s use if its power of intervention in respect of a firm operating post-Brexit under the Temporary Permissions Regime.

  2. First Supervisory Notice 2021: Marshall Sterling Investment Management Limited [pdf]

    Supervisory notices

    Published: 24/05/2021

    First Supervisory Notice 2021: Marshall Sterling Investment Management Limited.

  3. First Supervisory Notice 2021: FXBFI Broker Financial Invest Ltd [pdf]

    Supervisory notices

    Published: 10/05/2021

    This First Supervisory Notice concerns the FCA’s use if its power of intervention in respect of a firm operating post-Brexit under the Temporary Permissions Regime.

  4. First Supervisory Notice 2021: Finteractive Limited [pdf]

    Supervisory notices

    Published: 16/04/2021

    This First Supervisory Notice concerns the FCA’s use if its power of intervention in respect of a firm operating post-Brexit under the Temporary Permissions Regime

  5. First Supervisory Notice 2021: Raedex Consortium Ltd [pdf]

    Supervisory notices

    Published: 16/03/2021

    First Supervisory Notice for Raedex Consortium Ltd.

  6. First Supervisory Notice 2020: Perry Prowse (Insurance Consultants) Ltd [pdf]

    Supervisory notices

    Published: 29/06/2020

    First Supervisory Notice for Perry Prowse (Insurance Consultants) Ltd.

  7. Second Supervisory Notice 2020: Perry Prowse (Insurance Consultants) Ltd [pdf]

    Supervisory notices

    Published: 29/06/2020

    Second Supervisory Notice for Perry Prowse (Insurance Consultants) Ltd.

  8. First supervisory notice 2020: F1 Markets Ltd [pdf]

    Supervisory notices

    Published: 01/06/2020

    This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing

  9. First supervisory notice 2020: Rodeler Ltd [pdf]

    Supervisory notices

    Published: 01/06/2020

    This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing

  10. First supervisory notice 2020: Hoch Capital Ltd [pdf]

    Supervisory notices

    Published: 01/06/2020

    This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing
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