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Showing 32 to 41 of 168 search results for Conduct Authority gave an individual a warning notice.
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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. -
Information we can share
A guide to what the FCA can and can’t share with the public about firms, people, and markets. -
Considerations for firms after the transition period
Find out how Temporary Transitional Power (TTP) may affect you. It will depend on several factors, including the nature of your business and where your customers are located. -
FCA fines Lloyds Banking Group firms a total of £28,038,800 for serious sales incentive failings
The Financial Conduct Authority (FCA) has fined Lloyds TSB Bank plc and Bank of Scotland plc, both part of Lloyds Banking Group (LBG), £28,038,800 for serious failings in their controls over sales incentive schemes. -
2018 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2018. -
Primary Market Bulletin 46
This edition covers Article 10 UK MAR and ESG stewardship and TCFD-aligned disclosures: sponsor procedures. -
Our Perimeter Report
Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products -
Comparison of banking providers’ fraud controls
This page contains information about banks’ fraud controls. It is intended to enable consumers and consumer groups to compare how banks protect their customers against fraud, and to help consumers to make better informed choices about their -
Warning Notice Statement 20/2 [pdf]
On 18 September 2020, the Financial Conduct Authority (the FCA) gave Carillion plc (in liquidation since 15 January 2018) and certain previous executive directors of Carillion a warning notice each, proposing to take action in respect of the conduct -
Warning Notice Statement 21/4 [pdf]
The Financial Conduct Authority gave a firm a Warning Notice on 16 September 2021 proposing to take action in respect of the conduct summarised in this statement. -
Warning notice statement 14/11 – Firm [pdf]
The Financial Conduct Authority (the FCA) gave a firm a Warning Notice on 30 April 2014 proposing to take action in respect of the conduct summarised in this statement.