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Showing 81 to 90 of 312 search results for gave an individual a Warning Notice.

81. Warning Notice Statement 24/3 [pdf]

    Warning notices Published: 11/04/2024
    The FCA gave Woodford Investment Management Limited and Neil Woodford warning notices on 19 February 2024 proposing to take action in respect of the conduct summarised in this statement.

82. Warning Notice Statement 21/5 [pdf]

    Warning notices Published: 16/12/2021
    On 15 December 2021, the FCA gave GIML a warning notice proposing to take action in respect of the conduct summarised in this statement.

83. Warning Notice Statement 21/6 [pdf]

    Warning notices Published: 16/12/2021
    On 15 December 2021, the FCA gave Mr Haywood a warning notice proposing to take action in respect of the conduct summarised in this statement.

84. Warning Notice Statement 20/2 [pdf]

    Warning notices Published: 13/11/2020 Last modified: 13/11/2020
    On 18 September 2020, the Financial Conduct Authority (the FCA) gave Carillion plc (in liquidation since 15 January 2018) and certain previous executive directors of Carillion a warning notice each, proposing to take action in respect of the conduct

85. Warning Notice Statement 21/4 [pdf]

    Warning notices Published: 03/11/2021
    The Financial Conduct Authority gave a firm a Warning Notice on 16 September 2021 proposing to take action in respect of the conduct summarised in this statement.

86. Warning notice statement 17/5 – Firm [pdf]

    Warning notices Published: 15/08/2017
    The Financial Conduct Authority (the FCA) gave Interactive Brokers (UK) Ltd (IBUK) a warning notice on 25 July 2017 proposing to take action in respect of the conduct summarised in this statement.

87. Warning notice statement 14/11 – Firm [pdf]

    Warning notices Published: 19/06/2014 Last modified: 19/06/2014
    The Financial Conduct Authority (the FCA) gave a firm a Warning Notice on 30 April 2014 proposing to take action in respect of the conduct summarised in this statement.

88. Directions and requirements placed on Samweb for providing misleading information to consumers

    News stories Published: 07/11/2022 Last modified: 16/11/2022
    FCA has issued First and Second Supervisory Notices.

89. FCA bans two individuals for lack of integrity

    Press Releases Published: 09/06/2016 Last modified: 09/06/2016
    These two individuals misused pension funds, endangering the retirement incomes of hundreds of people. ... In one case he gave unsuitable advice to a customer to invest in an unregulated collective investment scheme (UCIS).

90. Mortgage Payment Protection Insurance (MPPI)

    Tasks for regulated firms Published: 24/02/2016 Last modified: 10/02/2023
    Read details of the agreement drawn up between the FCA and the MPPI industry to ensure customers receive fair treatment, outlining the action firms should take and where you can find further information.