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Showing 41 to 50 of 134 search results for gave an individual a Warning Notice on 6 March.

41. Warning notice statement 14/3 – Individual [pdf]

    Warning notices Published: 27/02/2014 Last modified: 27/02/2014
    The Financial Conduct Authority (the FCA) gave an individual a warning notice on 21 January 2014 proposing to take action in respect of the conduct summarised in this statement.

42. Unfair contract terms library

    Tasks for firms Published: 03/08/2015 Last modified: 09/05/2024
    The FCA's work on unfair contract terms including past undertakings, agreements and other publications.

43. Warning notice statement 14/16 – Individual [pdf]

    Warning notices Published: 08/08/2014 Last modified: 08/08/2014
    The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 18 July 2014 proposing to take action in respect of the conduct summarised in this statement.

44. Warning notice statement 14/14 – Individual [pdf]

    Warning notices Published: 08/08/2014 Last modified: 08/08/2014
    The Financial Conduct Authority (the FCA) gave an individual a warning notice on 18 June 2014 proposing to take action in respect of the conduct summarised in this statement.

45. Warning notice statement 14/12 – Individual [pdf]

    Warning notices Published: 08/08/2014 Last modified: 08/08/2014
    The Financial Conduct Authority (the FCA) gave an individual a warning notice on 18 June 2014 proposing to take action in respect of the conduct summarised in this statement.

46. Warning notice statement 14/13 – Individual [pdf]

    Warning notices Published: 08/08/2014 Last modified: 08/08/2014
    The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 15 May 2014 proposing to take action in respect of the conduct summarised in this statement.

47. Warning notice statement 14/15 – Individual [pdf]

    Warning notices Published: 08/08/2014 Last modified: 08/08/2014
    The Financial Conduct Authority (the FCA) gave an individual a warning notice on 18 June 2014 proposing to take action in respect of the conduct summarised in this statement.

48. Former senior trader sentenced for insider dealing

    Press Releases Published: 19/03/2015 Last modified: 05/04/2023
    In a case brought by the Financial Conduct Authority (FCA), Julian Rifat – a former senior execution trader and portfolio strategist at Moore Europe Capital Management LLC – has today been sentenced at Southwark Crown Court to 19 months

49. FCA takes action for contempt of court

    Press Releases Published: 04/03/2019 Last modified: 04/03/2019
    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

50. British Steel Pension Scheme: Tools for firms

    Tasks for firms Published: 28/02/2023 Last modified: 26/09/2023
    The FCA rules require firms to assess any advice they gave to BSPS members to transfer out and pay redress if it was unsuitable and caused the consumer a loss. Find out more about the tools firms need to use and read the supporting documents.