Publications

Showing 9811 to 9820 of 18845 search results.

9811. Decision Notice: Robert Ward (Director of BHIM) [pdf]

      Decision notices

      Published: 09/05/2019

      This decision notice (Robert Ward (Director of BHIM) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that a

9812. Decision Notice: Financial Page Ltd (in liquidation) [pdf]

      Decision notices

      Published: 09/05/2019

      This decision notice (Financial Page Ltd (in liquidation)) refers to breaches of PRIN 1 and section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that a public

9813. Decision Notice: Thomas Ward (de facto director of FPL) [pdf]

      Decision notices

      Published: 09/05/2019

      This decision notice (Thomas Ward (de facto director of FPL)) refers to breaches of section 63A FSMA and FIT related to a lack of fitness/propriety in the investment adviser and pensions sector. Our view is that a prohibition and financial penalty

9814. Decision Notice: Tristan Freer (Director of BHIM) [pdf]

      Decision notices

      Published: 09/05/2019

      This decision notice (Tristan Freer (Director of BHIM)) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that

9815. Decision Notice: Henderson Carter Associates Limited (in liquidation) [pdf]

      Decision notices

      Published: 09/05/2019

      This decision notice (Henderson Carter Associates Limited (in liquidation)) refers to breaches of PRIN 1 and Section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is

9816. Notice of Undertaking: James Brearley & Sons Limited [pdf]

      Undertakings

      Published: 09/05/2019

      The FCA has published an undertaking from James Brearley & Sons Limited regarding a potentially unfair term in its share dealing contract. The undertaking has been provided under the Consumer Rights Act 2015 (CRA) and the Unfair Terms in Consumer

9817. FCA Board Minutes: 28 March 2019 [pdf]

      Meeting minutes

      Published: 09/05/2019

9818. Decision Notice: Bank House Investment Management Limited [pdf]

      Decision notices

      Published: 09/05/2019

      This decision notice (Bank House Investment Management Limited) refers to breaches of PRIN 1 and section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that a

9819. Final Notice 2019: DMC Health Wize Limited [pdf]

      Final notices

      Published: 08/05/2019

      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.

9820. CP19/17: Consultation on mortgage advice and selling standards [pdf]

      Consultation papers

      Published: 07/05/2019

      We propose changes to our mortgage advice and selling standards to address 3 harms identified through the Mortgages Market Study