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CP24/18: Quarterly Consultation No. 45 [pdf]
Proposed amendments to our Handbook relating to 'firm' definitions and a non-UCITS retail scheme. -
Final Notice 2024: Alec John Cuthbert [pdf]
This Final Notice (Alec John Cuthbert) refers to a breach of APER Statement of Principle 1 and lack of fitness and propriety related to the reckless design and operation of a pension transfer advice model in the pensions sector. We imposed a -
Notice of Decision 2024: AKJ Motorsport Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: CMV Automotive Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: I HOME SOLUTIONS LTD [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Decision Notice 2024: Liam Patrick George Martin [pdf]
This Decision Notice (Liam Patrick George Martin) refers to a breach of APER Statement of Principle 1 related to the reckless design of a pension transfer advice model in the pensions sector and a lack of fitness and property in designing and -
Decision Notice 2024: Adrian Stuart Westbrook Douglas [pdf]
This Decision Notice (Adrian Stuart Westbrook Douglas) refers to a breach of APER Statement of Principle 1 related to the reckless design of a pension transfer advice model in the pensions sector and a lack of fitness and property in designing and -
Notice of Decision 2024: J U Autos UK Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: CFG (Commercial Finance Group) Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Final Notice 2024: Saranac Partners Limited [pdf]
This final notice refers to the FCA’s refusal of the Applicant’s application under section 60 of FSMA for approval of an individual to perform the Senior Manager functions of SMF1 (Chief Executive function) and SMF3 (Executive Director function).