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Showing 51 to 60 of 134 search results for gave an individual a Warning Notice on 6 March.

  1. Kenneth Carver fined £35,212 for insider dealing

    Press Releases Published: 30/03/2015 Last modified: 30/11/2016
    Market abuse is a serious offence and today’s fine reflects the fact that we will not hesitate in taking action against individuals who act on inside information. ... Willmott pleaded guilty to insider dealing on 26 February 2015 and on 27 March 2015

  2. Capital Alternatives: information for investors

    News stories Published: 18/03/2016 Last modified: 13/07/2021
    We are continuing our High Court claim for money to be returned to investors in the African Land and Capital Carbon Credits schemes. Find out more about this and what it means for investors.

  3. Annual fees: Online Invoices with FCA Chrysalis

    Tasks for firms Published: 07/05/2015 Last modified: 28/07/2023
    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.

  4. Benchmarks Regulation: our powers, policy and decision-making

    Markets Published: 18/11/2020 Last modified: 02/04/2024
    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.

  5. FCA confirms how it will use new power to publicise warning notices

    Press Releases Published: 15/10/2013 Last modified: 15/10/2013
    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

  6. AXA fined and reviews investment sales for advice failings

    Press Releases Published: 13/09/2013 Last modified: 25/11/2021
    The Financial Conduct Authority (FCA) has fined AXA Wealth Services Ltd (AXA) £1,802,200 for failing to ensure it gave suitable investment advice to its customers.

  7. 2015 Disclosure Log

    Last modified: 30/01/2020
    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 2015. 

  8. Two individuals face bans and £1.3m fine for pension transfer advice failings

    Press Releases Published: 01/09/2023 Last modified: 01/09/2023
    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.

  9. Consumer investments data review April 2020 - March 2021

    Data Published: 15/09/2021 Last modified: 13/06/2023
    A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2020 and 31 March 2021.

  10. Information on suspected orderbook spoofing and/or layering

    FOI Release Date of Release: 31/08/2021
    FCA responds on request for numbers of 'incidents' and 'cases' of suspected orderbook spoofing and/or layering