Search results
Showing 52 to 61 of 167 search results for gave an individual a Warning Notice on 12.
-
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). -
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. -
FCA confirms how it will use new power to publicise warning notices
A published warning notice statement will ordinarily include a brief summary of the facts which gave rise to the warning notice to enable consumers, firms and market users to understand the ... The FCA was consulting on the power to publicise warning -
2023 fines
Enforcement fines published in 2023. -
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. -
What we publish
We publish a wide range of publications: consultations, policy papers, decision-making documents, research and other useful information. Find out more about the types of documents available. -
Two individuals face bans and £1.3m fine for pension transfer advice failings
The FCA has decided to fine Toni Fox £681,536 and David Price £632,594 for their roles in operating a flawed pension advice process. -
Primary Market Bulletin 32
Welcome to the 32nd edition of the Primary Market Bulletin (PMB) -
FCA takes action for contempt of court
On Friday 1 March, The High Court of Justice sentenced Robert John McKendrick to 6 months imprisonment for contempt of court. Mr McKendrick had diverted funds and failed to disclose information about his assets in breach of freezing injunctions -
Pension scams
Don’t let a scammer enjoy your retirement. Find out how pension scams work, how to avoid them, and what to do if you suspect a scam. -
Benchmarks Regulation: our powers, policy and decision-making
Our policy approach to exercising our powers over critical benchmarks, and our decisions to use these powers to help manage an orderly wind-down of LIBOR.