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Showing 22 to 31 of 167 search results for gave an individual a Warning Notice on 12.

  1. 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).

  2. 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.

  3. 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.

  4. 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.

  5. 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

  6. Warning Notice Statement 21/1 [pdf]

    Warning notices Published: 10/09/2021
    The Financial Conduct Authority (the FCA) gave three individuals warning notices on 16 July 2021 proposing to take action in respect of conduct summarised in this statement.

  7. Warning Notice Statement 21/3 [pdf]

    Warning notices Published: 07/10/2021
    The Financial Conduct Authority gave an individual a warning notice on 16 September 2021 proposing to take action in respect of the conduct summarised in this statement.

  8. Warning Notice Statement 22/2 [pdf]

    Warning notices Published: 16/03/2022
    On 17 January 2022, the Financial Conduct Authority (the FCA) gave Metro Bank plc and certain individuals a warning notice each, proposing to take action in respect of the conduct summarised in this statement.

  9. Warning Notice Statement 21/2 [pdf]

    Warning notices Published: 30/09/2021
    The Financial Conduct Authority (the FCA) gave three individuals a warning notice on 10 August 2021 proposing to take action in respect of the conduct summarised in this statement.

  10. Warning Notice Statement 20/1 [pdf]

    Warning notices Published: 19/03/2020
    The Financial Conduct Authority gave an individual a warning notice on 19 March 2020 proposing to take action in respect of the conduct summarised in this statement.

  11. Warning notice statement 14/1 – Individual [pdf]

    Warning notices Published: 03/02/2014 Last modified: 03/02/2014
    The Financial Conduct Authority (the FCA) gave an individual a warning notice on 28 November 2013 proposing to take action in respect of the conduct summarised in this statement.