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Showing 22 to 31 of 168 search results for Conduct Authority gave an individual a warning notice.

  1. FCA Warning List of unauthorised firms

    Search our Warning List to find details of unauthorised firms and individuals that we’re aware of, that aren’t allowed to operate in the UK.

  2. Warning notice statement 14/15 – Individual [pdf]

    Warning notices Published: 08/08/2014 Last modified: 08/08/2014
    The Financial Conduct Authority (the FCA) gave an individual a warning notice on 18 June 2014 proposing to take action in respect of the conduct summarised in this statement.

  3. Warning notice statement 14/10 – Individual [pdf]

    Warning notices Published: 12/05/2014 Last modified: 13/05/2014
    The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 24 March 2014 proposing to take action in respect of the conduct summarised in this statement.

  4. Warning Notice Statement 21/1 [pdf]

    Warning notices Published: 10/09/2021
    The Financial Conduct Authority (the FCA) gave three individuals warning notices on 16 July 2021 proposing to take action in respect of conduct summarised in this statement.

  5. Warning Notice Statement 21/2 [pdf]

    Warning notices Published: 30/09/2021
    The Financial Conduct Authority (the FCA) gave three individuals a warning notice on 10 August 2021 proposing to take action in respect of the conduct summarised in this statement.

  6. Warning Notice Statement 22/2 [pdf]

    Warning notices Published: 16/03/2022
    On 17 January 2022, the Financial Conduct Authority (the FCA) gave Metro Bank plc and certain individuals a warning notice each, proposing to take action in respect of the conduct summarised in this statement.

  7. 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.

  8. 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.

  9. 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.

  10. 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.

  11. FCA confirms how it will use new power to publicise warning notices

    Press Releases Published: 15/10/2013 Last modified: 15/10/2013
    The Financial Conduct Authority (FCA) today confirmed how it will use its new power to publicise warning notices by publishing information about proposed enforcement action. ... A published warning notice statement will ordinarily include a brief summary