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Showing 82 to 91 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. -
The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator
The Financial Conduct Authority (FCA) has issued a public censure against The Co-operative Bank plc (Co-op Bank) for breaching its Listing Rules. The Listing Rules require issuers to ensure that information published is not misleading so that -
Our approach to supervision
Our approach to supervision sets out how we carry out our regulatory oversight. It is designed to help firms, consumers and markets understand how we work, and fulfil our accountability to Parliament and to the public. -
FCA fines Tesco Bank £16.4m for failures in 2016 cyber attack
The Financial Conduct Authority (FCA) has fined Tesco Personal Finance plc (Tesco Bank) £16,400,000 for failing to exercise due skill, care and diligence in protecting its personal current account holders against a cyber attack. The cyber attack -
FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010
The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and -
Online trading scams
Find out how online trading scams work, how to avoid scams and what to do if you’re scammed. -
FCA fines and bans financial adviser for insider dealing
The Financial Conduct Authority (FCA) has today fined Mark Taylor, a financial adviser, £36,285 and banned him for a period of at least two years for engaging in market abuse. ... On 1 April 2013 the Financial Conduct Authority (FCA) became responsible -
FCA publishes Decision Notices for Carillion plc (in liquidation) and three of its former executive directors
The FCA has imposed a public censure on Carillion, rather than a financial penalty, given the firm is insolvent and in liquidation -
Side pockets
Side pockets could affect anyone who invests in funds that are exposed to Russian assets. Find out more about how side pockets work and what investors can expect. -
Deutsche Bank fined £4.7m for failing to properly report transactions
Deutsche Bank AG London Branch (Deutsche) has been fined £4,718,800 by the Financial Conduct Authority (FCA) for incorrectly reporting transactions between November 2007 and April 2013. ... On the 1 April 2013 the Financial Conduct Authority (FCA) -
Binary options scams
Find out how binary options work, how to avoid scams and what to do if you’re scammed.