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  1. New-rules-for-high-risk-investments-transcript.pdf [pdf]

    Published: 09/10/2023

    New rules for high-risk investments transcript

  2. New-rules-for-high-risk-investments-transcript.docx [docx]

    Published: 09/10/2023

    New rules for high-risk investments video transcript

  3. Final Notice 2023: Wellington Court Financial Services Limited [pdf]

    Final notices

    Published: 06/10/2023

    This final notice (Wellington Court Financial Services Limited) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in relation to a firm within the TPR. We imposed a cancellation.

  4. First Supervisory Notice 2023: London Court Limited [pdf]

    Supervisory notices

    Published: 06/10/2023

    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 London Court Limited with immediate effect.

  5. Information on funeral plan sales - October 2023

    FOI releases

    Published: 05/10/2023

    Last modified: 31/12/2024

    FCA provides information on information on Funeral plan sales October 2023.

  6. Notice of Undertaking: Wirex Limited [pdf]

    Undertakings

    Published: 04/10/2023

    Notice of Undertaking: Wirex Limited.

  7. Information on cyber attacks and data breaches reported to the FCA - October 2023

    FOI releases

    Published: 04/10/2023

    Last modified: 01/01/2025

    FCA provides information on cyber attacks and data breaches reported to the FCA.

  8. Final Notice 2023: Simon Richard Hughes [pdf]

    Final notices

    Published: 03/10/2023

    This Final Notice (Simon Richard Hughes) refers to breaches of APER 2, 6 and 7 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition and withdrawal. A payment of

  9. Notice of Decision 2023: Starkey Hire Limited [pdf]

    Decision notices

    Published: 03/10/2023

    This Notice of Decision (Starkey Hire Limited) refers to a failure to carry on regulated activities. We imposed a cancellation.

  10. Final Notice 2023: Christopher Vincent Summers [pdf]

    Final notices

    Published: 03/10/2023

    This Final Notice (Christopher Vincent Summers) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.
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