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Showing 62 to 71 of 313 search results for FCA 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. -
Loan fee fraud
Every year the FCA receives hundreds of reports of loan fee fraud, with victims reporting an average loss of £260. Find out how to spot the warning signs. -
AXA fined and reviews investment sales for advice failings
The Financial Conduct Authority (FCA) has fined AXA Wealth Services Ltd (AXA) £1,802,200 for failing to ensure it gave suitable investment advice to its customers. -
Information for ARM investors
There have been a number of developments recently that affect investors in bonds issued by ARM Asset Backed Securities SA (ARM), a securitisation vehicle based in Luxembourg. We take a look at some frequently asked questions. -
Change in Control
Find out when you need to notify us to acquire or change control in a firm that we regulate. -
Primary Market Bulletin 32
Welcome to the 32nd edition of the Primary Market Bulletin (PMB) -
2015 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 2015. -
Kenneth Carver fined £35,212 for insider dealing
Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... Carver gave significant co-operation and provided a detailed account of events at an early stage of the investigation alongside evidence of serious financial -
AIFMD updates
There are several updates the FCA has published on Alternative Investment Fund Managers Regulations. Find out about the FCA's updated guides and forms. -
Market abuse
Behaviour such as insider dealing and market manipulation can amount to market abuse. Find out more about the safeguards firms must have in place. -
The rapidity of change
Speech by Tracey McDermott, Acting Chief Executive at the Financial Conduct Authority, to be delivered at the City Banquet - Mansion House this evening. This is the text of the speech as drafted, which may differ from the delivered version.