Publications
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MiFID Fees and Levies Supplement Form: Retail [docx]
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FCA Board Minutes: 27 and 28 June 2018 [pdf]
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Final Notice 2018: Thinking: Health & Income Ltd [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 General Insurance and Protection sector. We imposed a cancellation. -
Final Notice 2018: Armstrong Investment Managers 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 2018: Asset Trust Group (Paul Hammond trading as) [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 General Insurance and Protection sector and Investment advisory sector. We imposed a -
FCA Board Minutes: 23 and 24 May 2018 [pdf]
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Dear CEO letter: Cross-Border Booking Arrangements [pdf]
The UK’s withdrawal from the EU has necessarily resulted in firms needing to put into place contingency plans which when executed will -
Final Notice 2018: Brian Beeston [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. We imposed a cancellation. -
Global Financial Innovation Network (GFIN): Consultation Document [pdf]
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Final Notice 2018: Prestige Interiors (MRH) 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. We imposed a cancellation.