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1. 19 February 2018

   Conduct Outcomes Report 2017

   The Conduct Outcomes Report outlines how we responded to the areas of misconduct we saw during 2017. It covers our enforcement action, monitoring and supervision work, and our activities to address risks and harms on our regulatory perimeter. It also includes good practice suggestions for licensed financial service providers, and sets out where we will focus our energies in 2018.

2. 15 December 2022

   Pencarrow Private Equity Management Limited - Formal Warning

   We have formally warned Pencarrow Private Equity Management Limited for breaching record-keeping requirements under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act. Our investigation found Pencarrow had systemic failings in its retention of identity and verification records for customers who invested in its Fund V, during the period April to July 2018, in that the records were not readily accessible.