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FCA Decision Notice 2016: Steven Maoudis trading as Montana Debt Management [pdf]
This decision notice refers to the FCA’s belief that Steven Maoudis trading as Montana Debt Management does not meet the minimum standards for authorisation to carry on regulated activities. Our view (subject to the Upper Tribunal’s determination -
Final Notice 2016: Adam Philip Hawkins [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
FCA filing rules [xlsx]
Validation rules for CRD IV are defined by the EBA. In addition to validation rules, we also apply filing rules based on the EBA published rules and additional rules exclusively for UK filers. -
Final Notice 2016: Scott Michael Crawley [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2016: Dale Robert Walker [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2016: Ross Tony Peters [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2016: Aaron Lee Petrou [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
FCA Q2 16/17 Number of skilled person reports commissioned [pdf]
Under the Financial Services and Markets Act, as amended by the 2012 Act, the FCA has the power to obtain a view from a third party (a ‘skilled person’) about aspects of a regulated firm's activities if it is concerned or wants further analysis. -
FOI4725 response [pdf]
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FOI4613 response [pdf]