Pacific Continental Securities (UK) Limited (in liquidation)

Financial Services Authority
To: Pacific Continental Securities (UK) Limited (in liquidation)
Of: c/o Smith & Williamson Limited
Prospect House
2 Athenaeum Road
N20 9YU

Date: 27 January 2009
TAKE NOTICE: the Financial Services Authority of 25 The North Colonnade, Canary
Wharf, London E14 5HS (“the FSA”) gives you final notice about the issue of a public
1.1. The FSA gave Pacific Continental Securities (UK) Limited (“PCS”/“the Firm”) a
Decision Notice on 23 December 2008 that pursuant to Section 205 of the Financial
Services and Markets Act 2000 (“FSMA”), the FSA had decided to issue a public
censure in relation to the Firm.
1.2. Accordingly, for the reasons set out below, the FSA imposes a public censure against
the Firm.
2.1. The FSA has decided to impose a public censure on the Firm for breaches of the
Principles for Businesses (“the Principles”) in connection with advising on and
arranging the sale of certain higher risk securities to customers between 1 April 2005
and 20 June 2007 (“the Relevant Period”).


We have the full history on Pacific Continental documented here.


date added: 06/07/2012  ·  source:

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Mis-sold Shares Limited is regulated by the Claims Management Regulator in respect of regulated claims management activities Licence number CRM:30945


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A claim for mis-selling can arise if you have suffered losses as a result of negligent advice from a stockbroker or IFA.


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