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| Date | Action Title | Type | Reference |
|---|---|---|---|
| 14/10/2025 | Voluntary Application for Imposition of Requirement: BlueCrest Capital Management | other | SourcePDF |
| 08/10/2025 | Notice of Decision 2025: Rhoss Dancey trading as RDI Wealth Management | cancellation | SourcePDF |
| 15/08/2025 | Notice of Decision 2025: Regent Asset Management International Limited | cancellation | SourcePDF |
| 29/07/2025 | Notice of Decision 2025: Miss Ivana Szelenyiova | cancellation | SourcePDF |
| 19/05/2025 | Notice of Decision 2025: FLORA-BANA LTD | cancellation | SourcePDF |
| 03/03/2025 | Notice of Decision 2025: PAN RISK MANAGEMENT SERVICES LIMITED | cancellation | SourcePDF |
| 13/02/2025 | Notice of Decision 2025: Montana Rose Leisure Limited | cancellation | SourcePDF |
| 07/02/2025 | Notice of Decision 2025: Patrick Damian Flanagan | cancellation | SourcePDF |
| 06/01/2025 | Notice of Decision 2025: Barkestone Associates (Wealth Management) Limited | cancellation | SourcePDF |
| 04/12/2024 | Notice of Decision 2024: The Green Management Agency Limited | cancellation | SourcePDF |
| 22/11/2024 | Notice of Decision 2024: Managed Print Solutions (Scotland) Ltd | cancellation | SourcePDF |
| 08/10/2024 | Final Notice 2024: Ashraf Wealth Management Ltd | other | SourcePDF |
| 27/09/2024 | Notice of Decision 2024: AAA Accident Claims Management Ltd | cancellation | SourcePDF |
| 06/09/2024 | Final Notice 2024: Saranac Partners Limited | other | SourcePDF |
| 02/08/2024 | Notice of Decision 2024: Moore Business Management Ltd | cancellation | SourcePDF |
| 23/05/2024 | Notice of Decision 2024: Nautilus Management Solutions Ltd | cancellation | SourcePDF |
| 10/05/2024 | Notice of Decision 2024: 3N Management Ltd | cancellation | SourcePDF |
| 11/03/2024 | Final Notice 2024: Inspirational Financial Management Ltd (in administration) | financial penalty | SourcePDF |
| 27/02/2024 | Notice of Decision 2024: Attanta Limited formerly known as Neovision Wealth Management Limited | cancellation | SourcePDF |
| 15/12/2023 | Notice of Decision 2023: Eighty Seventy Facilities Management Ltd | cancellation | SourcePDF |
| 07/12/2023 | Final Notice 2023: Felicitas Management Investment Services Ltd | cancellation | SourcePDF |
| 16/11/2023 | Notice of Decision 2023: Versus Vehicle Management Ltd | cancellation | SourcePDF |
| 29/09/2023 | Notice of Decision 2023: Tusk Capital Management Limited | cancellation | SourcePDF |
| 19/09/2023 | Final Notice 2023: Moorland Mayfair Wealth Management | other | SourcePDF |
| 08/09/2023 | Final Notice 2023: Avanao Limited (trading as carloans.co.uk) | cancellation | SourcePDF |
| 17/08/2023 | Notice of Decision 2023: Guyon Capital Management Limited | cancellation | SourcePDF |
| 10/08/2023 | Notice of Decision 2023: Indigo Fleet Management Limited | cancellation | SourcePDF |
| 03/08/2023 | Notice of Decision 2023: Buchanan Financial Group Limited | cancellation | SourcePDF |
| 20/04/2023 | First Supervisory Notice 2023: CFS Management Ltd | other | SourcePDF |
| 22/02/2023 | First Supervisory Notice 2023: Estate Capital Financial Management Limited | other | SourcePDF |
| 03/02/2023 | Decision Notice 2022: Saranac Partners Limited | other | SourcePDF |
| 31/01/2023 | First Supervisory Notice 2023: Nexus Independent Financial Advisers Limited & Nexus Investment Managers Limited | other | SourcePDF |
| 21/10/2022 | Final Notice 2022: Automotive Capital Management Limited | cancellation | SourcePDF |
| 23/06/2022 | Decision Notice 2022: Ghana International Bank plc | financial penalty | SourcePDF |
| 17/05/2022 | Final Notice 2022: Bank House Investment Management Limited | financial penalty | SourcePDF |
| 30/03/2022 | Final Notice 2022: GAM International Management Limited | financial penalty | SourcePDF |
| 17/02/2022 | Statement on RTC Management Solutions Ltd | other | SourcePDF |
| 18/01/2022 | Final Notice 2022: Clarity Vehicle Management Limited | other | SourcePDF |
| 22/12/2021 | Decision Notice 2021: BlueCrest Capital Management (UK) LLP | financial penalty | SourcePDF |
| 17/09/2021 | Final Notice 2021: Principal Claims Management Services Limited | other | SourcePDF |
| 03/09/2021 | Final Notice 2021: Abacus Management Ltd | other | SourcePDF |
| 02/08/2021 | Final Notice 2021: Black and White Accident Management Limited | other | SourcePDF |
| 25/05/2021 | Final Notice 2021: United Claims Management Ltd | other | SourcePDF |
| 24/05/2021 | First Supervisory Notice 2021: Marshall Sterling Investment Management Limited | other | SourcePDF |
| 14/10/2020 | Final Notice 2020: Asia Research and Capital Management Ltd | financial penalty | SourcePDF |
| 11/09/2020 | Final Notice 2020: Risk Free Claims Management Ltd | other | SourcePDF |
| 09/07/2020 | Final Notice 2020: Northwood Financial Management (trading as Stephen Jones) | other | SourcePDF |
| 18/02/2020 | Second Supervisory Notice 2020: Fortuna Wealth Management Limited | other | SourcePDF |
| 12/02/2020 | Final Notice 2020: Sukhvir Tiwana | cancellation | SourcePDF |
| 22/05/2019 | Anti-competitive conduct in the asset management sector: FCA Decisions under the Competition Act 1998 - Annexes | other | SourcePDF |
| 22/05/2019 | Anti-competitive conduct in the asset management sector: FCA Decisions under the Competition Act 1998 | other | SourcePDF |
| 22/05/2019 | Anti-competitive conduct in the asset management sector: FCA Decisions under the Competition Act 1998 | other | SourcePDF |
| 09/05/2019 | Decision Notice: Bank House Investment Management Limited | other | SourcePDF |
| 31/01/2019 | Final Notice 2019: Malcolm Buchanan | cancellation | SourcePDF |
| 16/01/2019 | First Supervisory Notice 2019: Organic Investment Management Limited | other | SourcePDF |
| 08/08/2018 | Final Notice 2018: Armstrong Investment Managers LLP | cancellation | SourcePDF |
| 03/07/2018 | Final Notice 2018: Independent Portfolio Managers Limited | other | SourcePDF |
| 06/06/2018 | Final Notice 2018: Canara Bank | financial penalty | SourcePDF |
| 21/05/2018 | Final Notice 2018: Premier Management Partners Limited | other | SourcePDF |
| 16/01/2018 | Second Supervisory Notice: Stargate Capital Management Limited and Stargate Corporate Finance Ltd | other | SourcePDF |
| 10/11/2017 | Final Notice 2017: Capita Financial Managers Limited | public censure | SourcePDF |
| 11/07/2017 | Final Notice 2017: KWS Wealth Management Limited | cancellation | SourcePDF |
| 07/07/2017 | Re-issued First Supervisory Notice: Stargate Capital Management Limited and Stargate Corporate Finance Ltd | other | SourcePDF |
| 10/04/2017 | Final Notice 2017: Collins Ward Capital Management Ltd | cancellation | SourcePDF |
| 07/02/2017 | Final Notice 2017: Dr Saim Köksal trading as Arcis Management Consultancy | other | SourcePDF |
| 06/02/2017 | Final Notice 2017: Steven Maoudis trading as Montana Debt Management | other | SourcePDF |
| 20/01/2017 | Final Notice 2017: Notion Capital Managers LLP | cancellation | SourcePDF |
| 17/01/2017 | First Supervisory Notice: Bank House Investment Management Limited | other | SourcePDF |
| 07/12/2016 | Final notice 2016: Warranty Management Services Limited | other | SourcePDF |
| 17/11/2016 | Final notice summary: EFG Asset Management | other | SourcePDF |
| 01/11/2016 | FCA Decision Notice 2016: Steven Maoudis trading as Montana Debt Management | other | SourcePDF |
| 27/09/2016 | Notice of Decision to Cancel: Murrayfield Management Limited | cancellation | SourcePDF |
| 09/08/2016 | Final notice 2016: Analyst Investment Management Plc | cancellation | SourcePDF |
| 15/07/2016 | FCA Decision Notice 2016: KWS Wealth Management Limited | cancellation | SourcePDF |
| 13/07/2016 | Final notice 2016: Volpe Capital Management LLP | cancellation | SourcePDF |
| 27/06/2016 | Final notice 2016: Park Grove Financial Management Limited | cancellation | SourcePDF |
| 09/05/2016 | Final notice 2016: Nasser Yusuf trading as Advance Money Management | other | SourcePDF |
| 15/04/2016 | Final notice 2016: M I Wealth Management Limited | cancellation | SourcePDF |
| 26/01/2016 | Final notice 2016: Money Clinic Debt Management | other | SourcePDF |
| 15/12/2015 | Final notice 2015: Threadneedle Asset Management Limited | other | SourcePDF |
| 05/08/2015 | Final Notice 2015: MGI Asset Management Limited | cancellation | SourcePDF |
| 21/05/2015 | FCA First Supervisory Notice 2015: Haydon Associates Debt Management Consultants Limited | other | SourcePDF |
| 14/04/2015 | Final Notice 2015: Focus Wealth Management LLP | cancellation | SourcePDF |
| 12/02/2015 | Final Notice 2015: LAFM Limited (formerly known as Lloyd Anderson Financial Management Limited) | cancellation | SourcePDF |
| 05/02/2015 | Final Notice 2015: Andrew Baxter trading as Wealth Management | cancellation | SourcePDF |
| 26/07/2014 | FCA Final Notice 2014: Managed Debt Services Ltd | other | SourcePDF |
| 29/05/2014 | FCA Final Notice 2014: Mark Ian Warner trading as Advanced Financial Management | cancellation | SourcePDF |
| 08/05/2014 | FCA Final Notice 2014: Catalyst Fund Management Limited | cancellation | SourcePDF |
| 28/04/2014 | FCA Final Notice 2014: Invesco Asset Management Limited, Invesco Fund Managers Limited | financial penalty | SourcePDF |
| 17/04/2014 | FCA Second Supervisory Notice 2014: Mark Ian Warner trading as Advanced Financial Management | other | SourcePDF |
| 21/03/2014 | FCA First Supervisory Notice 2014: Mark Ian Warner trading as Advanced Financial Management | other | SourcePDF |
| 10/03/2014 | FCA Final Notice 2014: Cathedral City Wealth Management Limited | cancellation | SourcePDF |
| 12/02/2014 | Modification by consent of the meaning of funds under management in IPRU(INV) 11 - Direction | other | SourcePDF |
| 24/01/2014 | FCA Final Notice 2014: 7722656 Canada Inc formerly carrying on business as Swift Trade Inc | financial penalty | SourcePDF |
| 13/01/2014 | FCA Final Notice 2014: Residential Facilities Management Limited | cancellation | SourcePDF |
| 18/10/2013 | FCA Final Notice 2013: Bentley-Leek Financial Management Limited | other | SourcePDF |
| 01/10/2013 | FCA First Supervisory Notice 2013: Catalyst Fund Management | other | SourcePDF |
| 04/09/2013 | FCA Final Notice 2013: Independent Asset Management U.K. Limited | cancellation | SourcePDF |
| 02/09/2013 | FCA Final Notice 2013: Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited | financial penalty | SourcePDF |
| 06/08/2013 | FCA Final Notice 2013: Vandana Madhukar Parikh | financial penalty | SourcePDF |
| 03/06/2013 | FCA First Supervisory Notice 2013: Independent Asset Management U.K. Limited | other | SourcePDF |
| 16/04/2013 | FCA Final Notice 2013: Castlehill Wealth Management Limited | cancellation | SourcePDF |
| 27/03/2013 | FSA Final Notice 2013: Care Asset Management | other | SourcePDF |
| 26/03/2013 | FSA Final Notice 2013: Pave Financial Management Ltd | other | SourcePDF |
| 22/03/2013 | FSA Final Notice 2013: Pave Financial Management Ltd | other | SourcePDF |
| 08/03/2013 | FSA Final Notice 2013: Peter Lea trading as Peter Lea Financial Management | other | SourcePDF |
| 15/11/2012 | FSA Final Notice 2012: Argentum-Lex Wealth Management Limited | other | SourcePDF |
| 13/11/2012 | FSA Final Notice 2012: Capita Financial Managers Limited | other | SourcePDF |
| 12/11/2012 | FSA Final Notice 2012: Savoy Investment Management Limited | other | SourcePDF |
| 29/10/2012 | OFT Requirement Notice: The Money Management Service Ltd | other | SourcePDF |
| 18/10/2012 | FSA Final Notice 2012: Sun Life Assurance Company of Canada (UK) Limited | other | SourcePDF |
| 02/10/2012 | FSA Final Notice 2012: Martin Edward RigneyTopps Rogers Financial Management | other | SourcePDF |
| 11/09/2012 | FSA Final Notice 2012: BlackRock Investment Management (UK) Limited | other | SourcePDF |
| 06/08/2012 | FSA Final Notice 2012: City Gate Money Managers Limited | other | SourcePDF |
| 16/07/2012 | FSA Final Notice 2012: Quintillion Asset Management Limited | other | SourcePDF |
| 14/06/2012 | FSA Final Notice 2012: Athanass Stefanopoulos | other | SourcePDF |
| 11/06/2012 | FSA Final Notice 2012: Wood Financial Management Limited | other | SourcePDF |
| 02/05/2012 | FSA Final Notice 2012: Martin Currie Investment Management Limited (“MCIML”) and Martin Currie Inc (“MCI”) | other | SourcePDF |
| 24/04/2012 | FSA Final Notice 2012: P3 Wealth Management Limited | other | SourcePDF |
| 04/04/2012 | FSA Supervisory Notice 2012: Wood Financial Management Limited | other | SourcePDF |
| 29/03/2012 | FSA Final Notice 2012: Christchurch Investment Management Limited | other | SourcePDF |
| 27/03/2012 | FSA Final Notice 2012: Gareth Flanagan, GMF Marketing Services Limited | other | SourcePDF |
| 20/03/2012 | FSA Decision Notice 2012: Dynamic Decisions Capital Management Ltd | other | SourcePDF |
| 13/02/2012 | FSA Final Notice 2012: Topps Rogers Financial Management | other | SourcePDF |
| 02/12/2011 | FSA Final Notice 2008: Rukhsana Malik | other | SourcePDF |
| 16/11/2011 | FSA Decision Notice 2011: Martin Edward Rigney Topps Rogers Financial Management | other | SourcePDF |
| 09/11/2011 | FSA Supervisory Notice 2011: Jarvis Investment Management Limited | other | SourcePDF |
| 03/11/2011 | FSA Decision Notice 2011: Pave Financial Management Limited | other | SourcePDF |
| 17/10/2011 | FSA Final Notice 2011: Rameshkumar Satyanarayan Goenka | other | SourcePDF |
| 06/10/2011 | FSA Supervisory Notice 2011: KMR Financial Management LLP | other | SourcePDF |
| 14/09/2011 | FSA Final Notice 2011: Towry Investment Management Limited | other | SourcePDF |
| 31/08/2011 | FSA Decision Notice 2011: 7722656 Canada Inc formerly carrying on business as Swift Trade Inc | other | SourcePDF |
| 31/08/2011 | FSA Decision Notice 2011: Athanass Stefanopoulos | other | SourcePDF |
| 08/07/2011 | FSA Final Notice 2011: Exclusive Asset Management Limited (In Liquidation) | other | SourcePDF |
| 16/02/2011 | FSA Final Notice 2011: Pinnacle Asset Management Limited | other | SourcePDF |
| 24/01/2011 | FSA Final Notice 2011: Perspective Financial Management Limited | other | SourcePDF |
| 22/12/2010 | FSA Final Notice 2010: Hemdale Financial Management Limited | other | SourcePDF |
| 13/12/2010 | FSA Final Notice 2010: Paolo Maranzana | other | SourcePDF |
| 29/09/2010 | FSA Supervisory Notice 2010: Hemdale Financial Management Limited | other | SourcePDF |
| 20/08/2010 | FSA Final Notice 2010: Abraham Olorunshola trading as Canaan Properties Estate Agents | other | SourcePDF |
| 18/08/2010 | FSA Final Notice 2010: PaParamjit Sohanpaul trading as Chase Symmons Financial Management | other | SourcePDF |
| 27/05/2010 | FSA Supervisory Notice 2010: Abraham Olorunshola trading as Canaan Properties Estate | other | SourcePDF |
| 26/04/2010 | FSA Final Notice 2010: Contact Management Services Limited | other | SourcePDF |
| 12/04/2010 | FSA Final Notice 2010: Sigma Fund Management LLP | other | SourcePDF |
| 12/03/2010 | FSA Final Notice 2010: Phoenix Management & Consultants Limited | other | SourcePDF |
| 21/01/2010 | FSA Final Notice 2010: Eamon McCourt trading as McCourt Financial Management | other | SourcePDF |
| 16/11/2009 | OFT Requirement Notice: RG Debt Management Services Limited | other | SourcePDF |
| 21/07/2009 | FSA Final Notice 2009: City Gate Money Managers Limited | other | SourcePDF |
| 01/07/2009 | FSA Supervisory Notice 2009: Devereux Klein Financial Management Limited | other | SourcePDF |
| 24/04/2009 | FSA Final Notice 2009: Mohammad Rana trading as Countrywide Management Consultancy and as Property Compass | other | SourcePDF |
| 26/01/2009 | FSA Final Notice 2009: Stone Financial Management Limited | other | SourcePDF |
| 09/01/2009 | FSA Final Notice 2009: Veritas Wealth Management Limited | other | SourcePDF |
| 10/11/2008 | FSA Final Notice 2008: AWD Chase de Vere Wealth Management Limited | other | SourcePDF |
| 05/11/2008 | FSA Final Notice 2008: Rukhsana Malik, trading as Greenacre | other | SourcePDF |
| 27/08/2008 | FSA Final Notice 2008: Ali Baig trading as Ali & Sons Mortgage Management and Estates | other | SourcePDF |
| 01/08/2008 | FSA Final Notice 2008: Greenfield Financial Management LP | other | SourcePDF |
| 27/06/2008 | FSA Final Notice 2008: Karen Bone trading as Karnel Management | other | SourcePDF |
| 30/05/2008 | FSA Final Notice 2008: Corporate Insurance Management Limited | other | SourcePDF |
| 19/05/2008 | FSA Final Notice 2008: UNAT DIRECT Insurance Management Limited (UNAT) | other | SourcePDF |
| 01/03/2008 | FSA Supervisory Notice 2008: Corporate Insurance Management Limited | other | SourcePDF |
| 01/11/2007 | FSA Supervisory Notice 2007: Rukhsana Malik (trading as Greenacre) | other | SourcePDF |
| 07/09/2007 | FSA Final Notice 2007: Michael Agbaje trading as AAA Management and Financial Enterprise | other | SourcePDF |
| 11/06/2007 | FSA Final Notice 2007: Kilminster Financial Management Limited | other | SourcePDF |
| 11/05/2007 | FSA Final Notice 2007: Charterhouse Consulting Wealth Management Limited | other | SourcePDF |
| 19/04/2007 | FSA Final Notice 2007: Insurance & Liability Management Limited | other | SourcePDF |
| 22/03/2007 | FSA Final Notice 2007: Mark Postle-Hacon trading as PHC Management Limited | other | SourcePDF |
| 12/03/2007 | FSA Application Refusal 2007: Helen Rimmer Property Management Services Limited (HRPMSL) | other | SourcePDF |
| 12/12/2006 | FSA Final Notice 2006: Hussain Shahab Aftab trading as Hydere International Management | other | SourcePDF |
| 10/11/2006 | FSA Final Notice 2006: Castle Financial Management Limited | other | SourcePDF |
| 01/09/2006 | FSA Final Notice 2006: Shahzad Bamdad Shirazi (trading as Specialists Asset Management) | other | SourcePDF |
| 11/08/2006 | FSA Final Notice 2006: Millenium Management Services UK Limited | other | SourcePDF |
| 21/07/2006 | FSA Final Notice 2006: Montague Management Limited | other | SourcePDF |
| 31/05/2006 | FSA Final Notice 2006: The Money Management Centre Limited | other | SourcePDF |
| 01/05/2006 | FSA Application Refusal 2006: Strathardle Asset Management Limited | other | SourcePDF |
| 20/04/2006 | FSA Final Notice 2006: Total Fleet Management Limited | other | SourcePDF |
| 10/03/2006 | FSA Final Notice 2006: Penyards Property Management | other | SourcePDF |
| 01/10/2005 | FSA Final Notice 2005: GoshawK Syndicate Management Limited | other | SourcePDF |
| 01/09/2005 | FSA Final Notice 2005: Fazil Kazmy (trading as Premier Management Services) | other | SourcePDF |
| 01/05/2005 | FSA Final Notice 2005: Courtover Investment Management Limited | other | SourcePDF |
| 01/01/2005 | FSA Final Notice 2005: Hemscott Investment Analysis Ltd | other | SourcePDF |
| 01/11/2004 | FSA Final Notice 2004: Kensington Financial Management Limited | other | SourcePDF |
| 01/10/2004 | FSA Final Notice 2004: Sesame Limited (formerly known as Kestrel Financial Management Limited) | other | SourcePDF |
| 01/10/2004 | FSA Application Refusal 2004: Mr Victor Arulananthan and Victors Financial Services Limited | other | SourcePDF |