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Final Notice 2022: Reece Klewchuck [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation. -
Final Notice 2022: INZMO Europe GmbH [pdf]
This Final Notice (INZMO Europe GmbH) refers to a failure to satisfy the effective supervision and suitability threshold conditions (COND) and to be open and co-operative with the Authority (PRIN 11) in relation to a firm within the TPR. We imposed -
Final Notice 2022: Arumpro Capital Limited [pdf]
This Final Notice (Arumpro Capital Limited) refers to a failure to satisfy the effective supervision and suitability threshold conditions (COND) and to be open and co-operative with the Authority (PRIN 11) in relation to a firm within the TPR. We -
Final Notice 2022: Clarity Vehicle Management Limited [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation. -
Final Notice 2022: Esfera Capital, Agencia de Valores, S.A. [pdf]
This Final Notice (Esfera Capital) refers to a failure to satisfy the effective supervision and suitability threshold conditions (COND) and to be open and co-operative with the Authority (PRIN 11) in relation to a firm within the TPR. We imposed a -
First Supervisory Notice 2021: Probitas Fidelis Limited [pdf]
For the reasons given in this notice, and pursuant to regulation 12(1) of the PSR, the Authority has decided to vary the authorisation granted to Probitas by imposing with immediate effect the following requirements. -
Industry testing data submission profile [xlsx]
The FCA’s Financial Instruments Reference Data System (FCA FIRDS) industry testing for CANINS file submissions. -
Market Data Processor and industry testing publication sample data [zip]
The FCA’s Financial Instruments Reference Data System (FCA FIRDS) Market Data Processor industry testing files enable firms to test they can ingest the files and assess the various scenarios around them. -
Final Notice 2022: Paul Seakens [pdf]
This Final Notice refers to breaches of FIT by an investment platform operator. We imposed a prohibition. -
Final Notice 2022: Sumer 62 Ltd [pdf]
This final notice refers to breaches of the PSR, related to failing to meet the conditions for registration in the payment systems sector. We imposed a cancellation.