Publications

Showing 31 to 40 of 314 search results.

31. First Supervisory Notice 2023: Campbell & Associates Independent Financial Advice Limited [pdf]

    Supervisory notices

    Published: 10/02/2023

    Last modified: 12/06/2023

    For the reasons given and pursuant to section 55L(3)(a) of the Financial Services and Markets Act 2000, the FCA has decided to impose the following requirements on Campbell & Associates Independent Financial Advice Limited.

32. Further First Supervisory Notice 2022: Indigo Michael Limited [pdf]

    Supervisory notices

    Published: 03/02/2023

    For the reasons given and pursuant to sections 55L(2)(a), 55L(2)(c) and (3)(b) of the Financial Services and Markets Act 2000, the FCA has decided to vary the requirements imposed on Indigo Michael Limited by a First Supervisory Notice issued on 12

33. First Supervisory Notice 2023: Nexus Independent Financial Advisers Limited & Nexus Investment Managers Limited [pdf]

    Supervisory notices

    Published: 31/01/2023

    For the reasons given in this First Supervisory Notice the FCA has decided to impose requirements (“the on Nexus Independent Financial Advisers Limited (“Nexus IFA”) and Nexus Investment Managers Limited (“Nexus IM”) with immediate effect.

34. First Supervisory Notice 2022: Micro-E C.I.C [pdf]

    Supervisory notices

    Published: 16/01/2023

    For the reasons given in this First Supervisory Notice, and pursuant to section 55L(2)(a) and (3)(a) of the Financial Services and Markets Act 2000, the Financial Conduct Authority has decided to impose the following requirements on Micro-E C.I.C

35. First Supervisory Notice 2022: Pello Capital Limited [pdf]

    Supervisory notices

    Published: 21/12/2022

    Last modified: 23/12/2022

    This First Supervisory Notice refers to breaches of Prin 3, 4 and 11 related to failing demonstrate that Pello Capital Limited has adequate and appropriate systems and controls to effectively manage risks. Failing to maintain adequate financial

36. First Supervisory Notice 2022: Lilium Markets Ltd [pdf]

    Supervisory notices

    Published: 29/11/2022

    For the reasons given in this First Supervisory Notice, and pursuant to regulation 12(1) and 15 of the Payment Services Regulations 2017 (“the PSR”), the Financial Conduct Authority has decided to vary the registration granted to Lilium Markets

37. First Supervisory Notice 2022: Umuthi Healthcare Solutions plc [pdf]

    Supervisory notices

    Published: 28/10/2022

    Pursuant to section 77(1) and 77(2A) of the Financial Services and Markets Act 2000, the FCA has decided to cancel (or 'discontinue') Umuthi Healthcare Solutions plc from the Official List.

38. Second Supervisory Notice 2022: Samweb UK Ltd [pdf]

    Supervisory notices

    Published: 21/10/2022

    Last modified: 16/11/2022

    For the reasons given in this Notice, the Authority has decided not to rescind the following Directions and Requirements set out below in paragraph 1.2 which were imposed on the Firm and notified to it in the First Supervisory Notice dated 21 June

39. First Supervisory Notice 2022: Samweb (UK) Ltd [pdf]

    Supervisory notices

    Published: 21/10/2022

    For the reasons given in this First Supervisory Notice, and pursuant to section 137S, of the Financial Services and Markets Act 2000, the Financial Conduct Authority has decided to give the following directions ('the Directions”) and, pursuant to

40. First Supervisory Notice 2022: Alexander David Securities Limited [pdf]

    Supervisory notices

    Published: 04/07/2022

    For the reasons given in this First Supervisory Notice, and pursuant to section 55L(2)(a) and (c) of the Financial Services and Markets Act 2000, the Financial Conduct Authority has decided to impose the following requirements.