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Showing 42 to 51 of 168 search results for Conduct Authority gave an individual a warning notice.

42. 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.

43. 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.

44. Warning Notice Statement 24/2 [pdf]

    Warning notices Published: 21/02/2024
    The FCA gave two individuals warning notices on 13 July 2023 proposing to take action in respect of the conduct summarised in this statement.

45. Warning Notice Statement 24/1 [pdf]

    Warning notices Published: 08/01/2024
    The FCA gave an individual a warning notice on 16 November 2023 proposing to take action in respect of the conduct summarised in this statement.

46. Warning Notice Statement 23/5 [pdf]

    Warning notices Published: 18/05/2023
    The FCA gave 3 individuals warning notices on 17 February 2023 proposing to take action in respect of the conduct summarised in this statement.

47. Warning Notice Statement 23/2 [pdf]

    Warning notices Published: 20/04/2023
    The FCA gave an individual a warning notice on 6 March 2023 proposing to take action in respect of the conduct summarised in this statement.

48. Warning Notice Statement 23/3 [pdf]

    Warning notices Published: 20/04/2023
    The FCA gave an individual a warning notice on 6 March 2023 proposing to take action in respect of the conduct summarised in this statement.

49. Warning Notice Statement 23/1 [pdf]

    Warning notices Published: 06/03/2023
    The FCA gave the following 2 individuals warning notices on 28 September 2022 proposing to take action (being the imposition of financial penalties) in respect of the conduct summarised in this statement.

50. Warning Notice Statement 22/3 [pdf]

    Warning notices Published: 20/10/2022
    The FCA gave a warning notice on 10 August 2022 to an individual (Individual A) working as a director and independent financial adviser at an advisory firm (Firm A) whilst an approved person proposing to take action in respect of the conduct

51. FCA bans two individuals for lack of integrity

    Press Releases Published: 09/06/2016 Last modified: 09/06/2016
    The Financial Conduct Authority has banned Mark Kelly and Patrick Gray from working in the financial services industry on the basis that they lack integrity. ... These two individuals misused pension funds, endangering the retirement incomes of hundreds

52. Kenneth Carver fined £35,212 for insider dealing

    Press Releases Published: 30/03/2015 Last modified: 30/11/2016
    The Financial Conduct Authority (FCA) has today fined Kenneth Carver £35,212 for insider dealing. ... On 1 April 2013, the FCA became responsible for the conduct and supervision of all regulated financial firms and the prudential supervision of those