Publications

Showing 81 to 90 of 204 search results for interventions.

81. First supervisory notice 2020: Magnum FX Cyprus 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

82. Second Supervisory Notice 2020: BBP Bandenia PLC [pdf]

    Supervisory notices

    Published: 16/04/2020

    Second Supervisory Notice issued to BBP Bandenia PLC.

83. First Supervisory Notice 2020: Triton Insurance Brokers Ltd [pdf]

    Supervisory notices

    Published: 20/03/2020

    We varied the firm’s permission and imposed requirements on the firm.

84. First Supervisory Notice 2020: Uncle Buck Finance LLP [pdf]

    Supervisory notices

    Published: 19/03/2020

    First Supervisory Notice 2020: Uncle Buck Finance LLP

85. Second Supervisory Notice 2020: Rix Motor Company Limited [pdf]

    Supervisory notices

    Published: 18/02/2020

    Second Supervisory Notice for Rix Motor Company Limited (2020)

86. Second Supervisory Notice 2020: Fortuna Wealth Management Limited [pdf]

    Supervisory notices

    Published: 18/02/2020

    This second supervisory notice refers to breaches of the supervision threshold conditions (COND) and to breaches of PRIN1 and PRIN11 related to lack of fitness/propriety and failing to be open and co-operative in the investment adviser sector. We

87. First Supervisory Notice 2019: SVS Securities Plc [pdf]

    Supervisory notices

    Published: 08/08/2019

    This first supervisory notice refers to a failure to satisfy the suitability and appropriate resources threshold conditions (COND) and to breaches of SYSC, PROD and PRIN. We imposed requirements on the firm.

88. Second Supervisory Notice 2019: London Capital & Finance PLC [pdf]

    Supervisory notices

    Published: 28/02/2019

    Last modified: 28/02/2019

    This second supervisory notice (London Capital & Finance PLC) refers to communications in relation to the firm's 'Fixed Rate ISA or Bond' which the FCA considers to be misleading, not fair, not clear and in breach of COBS 4.2.1R. We imposed

89. First Supervisory Notice 2019: Coutts Automobiles Limited [pdf]

    Supervisory notices

    Published: 25/01/2019

    This first supervisory notice refers to a failure to satisfy the suitability threshold condition (COND) and breaches of PRIN. We varied the firm’s permission.

90. First Supervisory Notice 2019: Organic Investment Management Limited [pdf]

    Supervisory notices

    Published: 16/01/2019

    This first supervisory notice (Organic Investment Management Limited) refers to a failure to satisfy the appropriate resources threshold condition (COND) and breaches of SYSC. We imposed requirements on the firm.