Shift Holdings is not authorised or registered by the FCA. Based upon information that FCA holds, they believe that the firm is carrying on regulated ...

a restriction in terms that for a period of 168 days from the date of this Final Notice

For breaching Statement of Principle 6, FIT and certain applicable rules set out in CASS

For breaching Listing Principle (LP) 2, Listing Rules (LR) 8 and 11 and Disclosure and Transparency Rule (DTR) 4.

For breaching Principle 4 of the Authority's Statement of Principles for Approved Persons.

For failing to take reasonable steps to ensure that the business of Swinton for which he was responsible in his significant influence function of CF1 and CF3 ...

For failing to observe proper standards of market conduct and failing to act with integrity by placing orders to seek to influence the Gold Fixing and for ...

For communications and suitability failings in relation to geared traded endowment policies (GTEPs).

For failings in its anti-money laundering (AML) controls for high risk customers

For failing to take reasonable care to establish and maintain effective anti-money laundering (AML) controls for high risk customers.