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Final Notice 2019: Prindiville Plc [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in -
Final Notice 2019: Jin-Yi Lee [pdf]
This final notice (Jin-Yi Lee) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. We imposed a financial penalty. -
Final Notice 2019: Eric Ka Chi Siu [pdf]
This final notice (Eric Ka Chi Siu) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. We imposed a financial penalty. -
Final Notice 2019: Vale Veterinary Group [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in -
Final Notice 2019: Cathay International Holdings Limited [pdf]
This final notice (Cathay International Holdings Limited) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. We imposed a financial penalty. -
Final Notice 2019: Andrew Morris Cars Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in -
Final Notice 2019: Pitshop Motors (Swindon) Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in -
Independent investigation protocol: London Capital & Finance Plc [pdf]
For the conduct of the independent investigation into the events and circumstances surrounding the failure and placing into administration of London Capital & Finance Plc pursuant to the Direction from the Treasury to the FCA on 23rd May 2019. -
Administrative arrangement for the transfer of personal data between EEA Authorities and non-EEA Authorities [pdf]
The FCA is a signatory to the IOSCO-ESMA administrative arrangement for the transfer of personal data between EEA authorities and non-EEA authorities. This arrangement acts as an appropriate safeguard when the FCA shares personal data with non-EEA -
Final Notice 2019: Wedgwood Vehicle Solutions Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in