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Showing 72 to 81 of 111 search results for gave an individual a Warning Notice on 18.
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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). -
Information on Collateral (UK) Ltd - February 2022
The FCA provides information on Collateral (UK) Ltd in Liquidation. -
Change in Control
Find out when you need to notify us to acquire or change control in a firm that we regulate. -
FCA bans former RBS LIBOR submitter, Paul White
External Broker: "nice, much appreciated.". The FCA issued Mr White with a Warning Notice on 18 June 2014, but proceedings were stayed due to the ongoing criminal investigation of the Serious ... Fraud Office into certain individuals who formerly worked -
Reducing and preventing financial crime
We are providing an update on our progress and looking ahead to identify 4 areas of focus in the coming year. -
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. -
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. -
General insurance pricing attestation multi-firm review
Assessing how firms satisfied themselves that they do not systematically discriminate against motor and home insurance customers based on the number of years they have held their policy, including any renewal (tenure). -
It's time for an Enlightenment on financial inclusion
Speech by Nikhil Rathi, the FCA's Chief Executive, delivered at PwC Glasgow for the Scottish Financial Enterprise: Extending Financial Inclusion event. -
Annual fees: Online Invoices with FCA Chrysalis
Firms use the FCA online invoicing portal to access their invoices, pay their fees and more. The portal is the most efficient and environmentally friendly way for them to communicate with firms. Find out how to register and login below. -
Information on investigations opened under the Senior Managers' Regime - June 2022
The FCA provides information on investigations opened under the Senior Managers' Regime.