Publications
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CP24/29: Private Intermittent Securities and Capital Exchange System: Sandbox Arrangements [pdf]
We are consulting on the regulatory framework for the Private Intermittent Securities and Capital Exchange System (PISCES) -
Notice of Decision 2024: Manns Amusements Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: PERFORMANCE AND PRESTIGE LIMITED [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: David Smith & Linda Smith [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: M Judge [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: Richard Fenech [pdf]
This decision Notice refers to a breach of APER statement of Principles 1 and 7 relating to a lack of integrity and failing to organise and control a firm’s affairs responsibly and effectively in the pensions sector. Our view is that a prohibition -
Notice of Decision 2024: Heather Dunne [pdf]
This decision notice refers to a breach of APER Statement of Principle 1 and 2 relating to failing to act with integrity and failing to act with due skill, care and diligence in the pensions sector. Our view is that a prohibition and a financial -
Notice of Decision 2024: Norman Daniel [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation -
Notice of Decision 2024: David Wallace [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: Stephen Perry [pdf]
Failing to carry on a regulated activities, Firm, Cancellation, Consumer Credit