Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 43 to 52 of 100 search results for gave an individual a warning notice on 26.

  1. 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).

  2. FCA Warning List of unauthorised firms

    Search our Warning List to find details of unauthorised firms and individuals that we’re aware of, that aren’t allowed to operate in the UK.

  3. 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.

  4. Warning notice statement 14/10 – Individual [pdf]

    Warning notices Published: 12/05/2014 Last modified: 13/05/2014
    The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 24 March 2014 proposing to take action in respect of the conduct summarised in this statement.

  5. 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

  6. 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

  7. 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.

  8. 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.

  9. 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.

  10. 2024 fines

    News stories Published: 25/03/2024 Last modified: 26/03/2024
    Enforcement fines published in 2024.

  11. 2023 fines

    News stories Published: 12/01/2023 Last modified: 04/04/2024
    Enforcement fines published in 2023.

  12. PS23/1: Extended asset retention requirement for firms under the British Steel Pension Scheme consumer redress scheme

    Policy and guidance Policy statements Published: 28/11/2022 Last modified: 27/01/2023
    Final rules to extend asset retention rules for certain firms who provided transfer advice to BSPS members. We also summarise feedback to CP22/22.