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Showing 82 to 91 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). -
Report fee tariff data: European Economic Area (EEA) firms
Find out what fees an EEA firm has to pay if it wants to set up a branch or offer cross-border services in the UK (passporting). -
FCA’s work on market abuse and manipulation – update 17 June 2022
Explaining the work we do to tackle market abuse and manipulation. -
2019 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 2019. -
Reports about sexual and non-financial misconduct made to the FCA
The FCA responds on the numbers of reports about sexual and non-financial misconduct made to the FCA -
Consumer investments data review 2020
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 January and 31 October 2020. -
Financial Lives 2022 survey - Key findings from the May 2022 survey: Executive summary
Executive summary for the key findings from the FCA’s Financial Lives February 2022 survey. -
Primary Market Bulletin 46
This edition covers Article 10 UK MAR and ESG stewardship and TCFD-aligned disclosures: sponsor procedures. -
2016 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 2016. -
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. -
Primary Market Bulletin 40
In this edition we provide feedback on our consultation in PMB 34 and highlight changes to the Knowledge Base on the prospectus regime as a result of the consultation.