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| Date | Action Title | Type | Reference |
|---|---|---|---|
| 05/12/2025 | Notice of Decision 2025: Synvestment Ltd | cancellation | SourcePDF |
| 12/03/2025 | Notice of Decision 2025: Carnaby Dental Investments | cancellation | SourcePDF |
| 11/02/2025 | Notice of Decision 2025: Westmore Business Systems Limited | cancellation | SourcePDF |
| 07/02/2025 | Notice of Decision 2025: Retirement & Investment Solutions Limited | cancellation | SourcePDF |
| 18/11/2024 | Notice of Decision 2024: M Capital Investments Limited | cancellation | SourcePDF |
| 11/11/2024 | First Supervisory Notice 2024: MRA Property Investments Limited | other | SourcePDF |
| 04/04/2024 | Notice of Decision 2024: Portia Investment Advisors Ltd | cancellation | SourcePDF |
| 25/03/2024 | Notice of Decision 2024: Cavendish Property Investments Ltd | cancellation | SourcePDF |
| 07/12/2023 | Final Notice 2023: Felicitas Management Investment Services Ltd | cancellation | SourcePDF |
| 07/09/2023 | Notice of Decision 2023: Abigail Investment Limited | cancellation | SourcePDF |
| 09/08/2023 | Final Notice 2023: Matrix Investments (1975) Limited | cancellation | SourcePDF |
| 31/01/2023 | First Supervisory Notice 2023: Nexus Independent Financial Advisers Limited & Nexus Investment Managers Limited | other | SourcePDF |
| 17/05/2022 | Final Notice 2022: Bank House Investment Management Limited | financial penalty | SourcePDF |
| 24/05/2021 | First Supervisory Notice 2021: Marshall Sterling Investment Management Limited | other | SourcePDF |
| 15/05/2020 | Final Notice 2020: Cesco Investments Ltd | cancellation | SourcePDF |
| 20/11/2019 | Final Notice 2019: Henderson Investment Funds Limited | financial penalty | SourcePDF |
| 05/07/2019 | Final Notice 2019: Carnwood Investments Limited | cancellation | SourcePDF |
| 09/05/2019 | Decision Notice: Bank House Investment Management Limited | other | SourcePDF |
| 29/04/2019 | Final Notice 2019: Linear Investments Limited | financial penalty | SourcePDF |
| 16/01/2019 | First Supervisory Notice 2019: Organic Investment Management Limited | other | SourcePDF |
| 27/11/2018 | Final Notice 2018: Larksway Investments Limited (in Liquidation) | cancellation | SourcePDF |
| 27/09/2018 | Decision Notice 2018: Linear Investments Limited | financial penalty | SourcePDF |
| 08/08/2018 | Final Notice 2018: Armstrong Investment Managers LLP | cancellation | SourcePDF |
| 25/05/2018 | Final Notice 2018: Energize Investments Limited | cancellation | SourcePDF |
| 05/02/2018 | Final Notice 2018: Stallion Financial Investments Plc | other | SourcePDF |
| 29/11/2017 | FCA First Supervisory Notice 2017: Larksway Investments Limited | other | SourcePDF |
| 29/11/2017 | FCA Second Supervisory Notice 2017: Larksway Investments Limited | other | SourcePDF |
| 23/08/2017 | Final Notice 2017: Goldenway Global Investments (UK) Limited and Gregory Rupert Nathan | other | SourcePDF |
| 17/01/2017 | First Supervisory Notice: Bank House Investment Management Limited | other | SourcePDF |
| 09/08/2016 | Final notice 2016: Analyst Investment Management Plc | cancellation | SourcePDF |
| 22/07/2016 | FCA Second Supervisory Notice 2016: Vantage Investment Group Limited | other | SourcePDF |
| 15/06/2016 | Final notice 2016: GGK Investments Limited | cancellation | SourcePDF |
| 12/08/2015 | FCA First Supervisory Notice 2015: A.G.L (S.J.) Investments Limited (formerly Atia Group Limited) | other | SourcePDF |
| 20/11/2014 | FCA Final Notice 2014: Royal Bank of Scotland Plc, National Westminster Bank Plc and Ulster Bank Ltd | financial penalty | SourcePDF |
| 27/08/2014 | FCA Final Notice 2014: Royal Bank of Scotland plc and National Westminster Bank Plc | financial penalty | SourcePDF |
| 23/07/2014 | FCA Final Notice 2014: Investments Limited | suspension | SourcePDF |
| 16/12/2013 | FCA Final Notice 2013: Winterflood Securities Limited (trading as Winterflood Investment Trusts) | other | SourcePDF |
| 26/11/2013 | FCA Final Notice 2013: SEI Investments (Europe) Limited ("SEI") | financial penalty | SourcePDF |
| 04/10/2013 | FCA Final Notice 2013: Catalyst Investment Group Limited | public censure | SourcePDF |
| 10/01/2013 | OFT Requirement Notice: National Westminster Bank plc | other | SourcePDF |
| 20/12/2012 | FSA Final Notice 2012: Gracechurch Investments Limited (In Liquidation) | other | SourcePDF |
| 19/12/2012 | FSA Final Notice 2012: Baronworth (Investment Services) Limited (in liquidation) | other | SourcePDF |
| 12/11/2012 | FSA Final Notice 2012: Savoy Investment Management Limited | other | SourcePDF |
| 11/09/2012 | FSA Final Notice 2012: BlackRock Investment Management (UK) Limited | other | SourcePDF |
| 02/05/2012 | FSA Final Notice 2012: Martin Currie Investment Management Limited (“MCIML”) and Martin Currie Inc (“MCI”) | other | SourcePDF |
| 29/03/2012 | FSA Final Notice 2012: Christchurch Investment Management Limited | other | SourcePDF |
| 09/11/2011 | FSA Supervisory Notice 2011: Jarvis Investment Management Limited | other | SourcePDF |
| 09/11/2011 | FSA Supervisory Notice 2011: National Westminster Bank plc | other | SourcePDF |
| 14/09/2011 | FSA Final Notice 2011: Towry Investment Management Limited | other | SourcePDF |
| 15/06/2011 | FSA Final Notice 2011: Westminster Mortgages Limited (In Liquidation) | other | SourcePDF |
| 11/01/2011 | FSA Final Notice 2011: Royal Bank of Scotland Plc and National Westminster Bank plc | other | SourcePDF |
| 17/08/2010 | FSA First Supervisory Notice 2010: Catalyst Investment Group | other | SourcePDF |
| 04/06/2010 | FSA Final Notice 2010: Close Investments Limited | other | SourcePDF |
| 22/01/2010 | FSA Final Notice 2010: Brian McGee trading as Brian McGee Investments and Pensions | other | SourcePDF |
| 21/01/2010 | FSA Final Notice 2010: Executive Investments Plc | other | SourcePDF |
| 01/10/2009 | FSA Supervisory Notice 2009: Executive Investments Plc | other | SourcePDF |
| 03/09/2009 | FSA Final Notice 2009: White Square Investments Limited | other | SourcePDF |
| 01/09/2009 | FSA Second Supervisory Notice 2009: Straumur-Burdaras Investment Bank hf | other | SourcePDF |
| 01/04/2009 | FSA Application Refusal 2009: First Start Investments Limited | other | SourcePDF |
| 01/03/2009 | FSA Supervisory Notice 2009: Straumur-Burdaras Investment Bank hf | other | SourcePDF |
| 02/10/2008 | FSA Final Notice 2008: TBO Investments Limited | other | SourcePDF |
| 15/07/2008 | FSA Final Notice 2008: Khalack Mohamad Loothfaully trading as KML Mortgage Investment Co. | other | SourcePDF |
| 22/01/2008 | FSA Final Notice 2008: Roderick Iven Cameron Chapman (trading as Vale Investment Services) | other | SourcePDF |
| 07/02/2007 | FSA Final Notice 2007: David Anthony Jones (trading as D Jones Investments) | other | SourcePDF |
| 01/11/2006 | FSA Supervisory Notice 2006: David Anthony Jones (trading as D Jones Investments) | other | SourcePDF |
| 01/11/2005 | FSA Final Notice 2005: Investment Services UK Limited and Mr Ram Melwani | other | SourcePDF |
| 01/11/2005 | FSA Application Refusal 2005: Asset Property Investments Limited | 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 |