FCA cancels adviser’s permission

FCA cancels adviser's permission




The Financial Conduct Authority (FCA) has cancelled the Part 4A permission of a firm operating in the investment adviser sector.

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p>Pacific Continental Securities (UK) Limited (PCS), based in Moorgate, London, went into administration in June 2007 with an estimated total deficiency to creditors of £1,087,454. 

 
PCS’s liquidators had been asked by the FCA to apply to cancel its Part 4A permission, but they had declined to do so. 
 
The FCA found that PCS had failed to satisfy the regulator’s threshold conditions and that its resources were not appropriate in relation to the regulated activities it had permission to carry on. 
 
Specifically, the FCA said that PCS was unable to meet its liabilities as they had fallen due. 
 
As a result, the Regulatory Decisions Committee of the FCA imposed a cancellation and issued PCS with a final notice. 
 

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