Publications

Showing 61 to 70 of 325 search results.

61. First Supervisory Notice 2021: Morgan Ingram Associates Limited [pdf]

    Supervisory notices

    Published: 28/01/2022

    This first supervisory notice concerns the FCA’s use of its power of intervention in respect of the firm terminating its relationships with the following Appointed Representatives (“ARs”) under their respective AR agreements.

62. First Supervisory Notice 2021: Probitas Fidelis Limited [pdf]

    Supervisory notices

    Published: 18/01/2022

    For the reasons given in this notice, and pursuant to regulation 12(1) of the PSR, the Authority has decided to vary the authorisation granted to Probitas by imposing with immediate effect the following requirements.

63. First Supervisory Notice 2021: Renaissance Advisory Ltd [pdf]

    Supervisory notices

    Published: 08/12/2021

    For the reasons given in this First Supervisory Notice (Renaissance Advisory Ltd), the Authority has decided to vary Renaissance Advisory Ltd’s permissions with the effect that it no longer has permission to conduct any regulated activities.

64. First Supervisory Notice 2021: Grosvenor Associates Limited [pdf]

    Supervisory notices

    Published: 30/11/2021

    For the reasons given in this First Supervisory Notice (Grosvenor Associates Limited), the Authority has decided to vary Grosvenor Associates Ltd’s permissions with the effect that it no longer has permission to conduct any regulated activities.

65. First Supervisory Notice 2021: Frensham Wealth Limited [pdf]

    Supervisory notices

    Published: 25/11/2021

    For the reasons given in this First Supervisory Notice (Frensham Wealth Limited), and pursuant to section 55J of the Act, the Authority has decided to vary the Part 4A permission of Frensham Wealth Limited. The Authority has further decided to

66. First Supervisory Notice 2021: Marvell Enterprises Limited [pdf]

    Supervisory notices

    Published: 15/11/2021

    This FSN (Marvell Enterprises Limited) concerns the FCA’s use of its power of intervention in respect the firm failing, or is likely to fail, to satisfy the Suitability Threshold Condition.

67. First Supervisory Notice 2021: Sentor Solutions Commercial Limited [pdf]

    Supervisory notices

    Published: 08/09/2021

    This FSN (Sentor Solutions Commercial Ltd) concerns the FCA’s use if its power of intervention in respect of a firm failing to pay due regard to the interests of its customers and treat them fairly.

68. Second supervisory notice: Professional Construction Risks Limited [pdf]

    Supervisory notices

    Published: 31/08/2021

    Second supervisory notice: Professional Construction Risks Limited

69. First supervisory notice: Professional Construction Risks Limited [pdf]

    Supervisory notices

    Published: 31/08/2021

    First supervisory notice: Professional Construction Risks Limited

70. First Supervisory Notice: Dolfin Financial (UK) Limited [pdf]

    Supervisory notices

    Published: 27/08/2021

    First Supervisory Notice: Dolfin Financial (UK) Limited