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Showing 82 to 91 of 313 search results for FCA 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. 2016 Disclosure Log

    Last modified: 30/01/2020
    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 2016. 

  3. Financial crime resources

    Published: 08/02/2024 Last modified: 13/05/2024
    Find publications about our Financial Crime Public Commitment, including news, speeches, podcasts, events and external publications.

  4. Financial Promotions for high-risk investments

    Multi-firm reviews Published: 27/09/2023 Last modified: 20/05/2024
    We outline the findings of our review of how firms offering restricted mass market investments (RMMIs) have complied with new rules on the customer journey. We identify examples of good and poor practice for the wider sector to consider and make any

  5. Warning Notice Statement 24/3 [pdf]

    Warning notices Published: 11/04/2024
    The FCA gave Woodford Investment Management Limited and Neil Woodford warning notices on 19 February 2024 proposing to take action in respect of the conduct summarised in this statement.

  6. Warning Notice Statement 21/5 [pdf]

    Warning notices Published: 16/12/2021
    On 15 December 2021, the FCA gave GIML a warning notice proposing to take action in respect of the conduct summarised in this statement.

  7. Warning Notice Statement 21/6 [pdf]

    Warning notices Published: 16/12/2021
    On 15 December 2021, the FCA gave Mr Haywood a warning notice proposing to take action in respect of the conduct summarised in this statement.

  8. Warning Notice Statement 20/2 [pdf]

    Warning notices Published: 13/11/2020 Last modified: 13/11/2020
    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

  9. Warning Notice Statement 21/4 [pdf]

    Warning notices Published: 03/11/2021
    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.

  10. 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.

  11. Warning notice statement 14/11 – Firm [pdf]

    Warning notices Published: 19/06/2014 Last modified: 19/06/2014
    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.