Showing 1 to 10 of 27 search results

1. Warning Notice Statement 20/1 [pdf]

   Warning notices Published: 19/03/2020
   The Financial Conduct Authority gave an individual a warning notice on 19 March 2020 proposing to take action in respect of the conduct summarised in this statement.

2. Warning Notice Statement 19/1 [pdf]

   Warning notices Published: 25/03/2019
   The Financial Conduct Authority gave an individual a warning notice on 12 February 2019 proposing to take action in respect of the conduct summarised in this statement.

3. Warning notice statement 17/5 – Firm [pdf]

   Warning notices Published: 15/08/2017
   The Financial Conduct Authority (the FCA) gave Interactive Brokers (UK) Ltd (IBUK) a warning notice on 25 July 2017 proposing to take action in respect of the conduct summarised in this statement.

4. Warning notice statement 17/4 – Individual [pdf]

   Warning notices Published: 24/02/2017
   The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 26 January 2017 proposing to take action in respect of the conduct summarised in this statement.

5. Warning notice statement 17/3 – Individual [pdf]

   Warning notices Published: 24/02/2017
   The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 26 January 2017 proposing to take action in respect of the conduct summarised in this statement.

6. Warning notice statement 17/2 – Individual [pdf]

   Warning notices Published: 06/02/2017
   The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 17 January 2017 proposing to take action in respect of the conduct summarised in this statement.

7. Warning notice statement 17/1 – Individual [pdf]

   Warning notices Published: 13/01/2017
   The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 12 December 2016 proposing to take action in respect of the conduct summarised in this statement.

8. Warning notice statement 16/2 – Individual [pdf]

   Warning notices Published: 21/01/2016 Last modified: 21/01/2016
   The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 19 November 2015 proposing to take action in respect of the conduct summarised in this statement.

9. Warning notice statement 16/1 – Individual [pdf]

   Warning notices Published: 11/01/2016 Last modified: 11/01/2016
   The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 7 December 2015 proposing to take action in respect of the conduct summarised in this statement.

10. Warning notice statement 15/2 – Individual [pdf]

    Warning notices Published: 26/06/2015 Last modified: 29/06/2015
    The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 12 May 2015 proposing to take action in respect of the conduct summarised in this statement.