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Data breaches to FCA or with ICO - October 2020
FCA provides information on the number of reportable data breaches made to FCA individually or with ICO for July-September 2020. -
Registered firms offering safe custody services information - October 2020
FCA provides information on businesses registered to offer safe custody services. -
UCITS unquoted securities 10% limit breaches information - October 2020
FCA provides information on number of breaches of the 10% limit on holding of unquoted securities under UCITS for 2020. -
Investigations into 'dividend stripping tax avoidance schemes' and cum-ex trades information - October 2020
FCA provides information on investigations are there into 'dividend stripping tax avoidance schemes that have operated in Denmark, Germany, France and Italy' and cum-ex trades. -
Final Notice 2020: Adnan Hassan [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2020: Hub Capital Limited (formerly known as Mex (Europe) Limited) [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the Asset Management sector and Investment Advisory sector. We imposed a cancellation. -
Final Notice 2020: NJW Car Sales [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2020: The Trinity Column Partners LLP [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the Investment Advisory sector. We imposed a cancellation. -
Final Notice 2020: Mint Autos of Wakefield Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2020: Blue Water Financial Limited [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the Consumer Credit sector, General Insurance Protection sector and Mortgages sector. We