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Showing 12 to 21 of 167 search results for gave an individual a Warning Notice on 12.
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Financial Services Register
To look up details of firms, use The Financial Services Register. The register is a public record that shows details of firms, individuals and other bodies that are, or have been, regulated by the Prudential Regulation Authority (PRA) and/or the Financial Conduct Authority (FCA). -
Regulatory Decisions Committee (RDC)
The RDC helps to ensure that contested enforcement decisions are made fairly. Find out more about the process and who sits on the committee. -
Primary Market Bulletin 46
This edition covers Article 10 UK MAR and ESG stewardship and TCFD-aligned disclosures: sponsor procedures. -
FCA fines Pembrokeshire Mortgage Centre Ltd £2.4m for serious failings in relation to the British Steel Pension Scheme
The FCA has fined Pembrokeshire Mortgage Centre Limited (PMC) (trading as County Financial Consultants) (in liquidation) £2,354,331 for giving consumers unsuitable advice to transfer out of the British Steel Pension Scheme and other defined benefit -
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. -
Business interruption insurance
Find out about how we obtained legal clarity on business interruption (BI) insurance during the coronavirus (Covid-19) crisis. -
Partly contested cases, the pipeline and AML investigations
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime. -
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 -
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. -
Warning Notice Statement 24/2 [pdf]
The FCA gave two individuals warning notices on 13 July 2023 proposing to take action in respect of the conduct summarised in this statement. -
Warning Notice Statement 24/1 [pdf]
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.