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Showing 73 to 82 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. Primary Market Bulletin 48

    Newsletters Published: 26/04/2024 Last modified: 26/04/2024
    This special edition consults on changes we propose to make to guidance in our Knowledge Base

  4. FCA fines Bank of Scotland for failing to report suspicions of fraud at HBOS Reading

    Press Releases Published: 21/06/2019 Last modified: 21/06/2019
    The Financial Conduct Authority (FCA) has today fined Bank of Scotland (BOS) £45,500,000 for failures to disclose information about its suspicions that fraud may have occurred at the Reading-based Impaired Assets (IAR) team of Halifax Bank of

  5. Financial promotions quarterly data 2024 Q1

    Data Published: 26/04/2024 Last modified: 26/04/2024
    We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 January 2024 and 31 March 2024.

  6. FCA highlights continuing concerns about problem firms in the CFD sector

    Press Releases Published: 01/12/2022 Last modified: 01/12/2022
    FCA has written to CFD providers outlining expectations and highlighting areas of poor practice seen in firms.

  7. Primary Market Bulletin 46

    Newsletters Published: 19/12/2023 Last modified: 19/12/2023
    This edition covers Article 10 UK MAR and ESG stewardship  and TCFD-aligned disclosures: sponsor procedures.

  8. Financial Lives 2020 survey: the impact of coronavirus

    Data and research Financial Lives Published: 11/02/2021 Last modified: 26/07/2023
    The Executive Summary for the FCA’s Financial Lives 2020 survey and October 2020 Covid-19 panel survey.

  9. FCA fines Lloyds Banking Group firms a total of £28,038,800 for serious sales incentive failings

    Press Releases Published: 11/12/2013 Last modified: 25/11/2021
    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.

  10. Financial Lives 2022 survey - Key findings from the May 2022 survey: Executive summary

    Financial Lives Published: 26/07/2023 Last modified: 26/07/2023
    Executive summary for the key findings from the FCA’s Financial Lives February 2022 survey.

  11. 2019 Disclosure Log

    Last modified: 20/03/2024
    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. 

  12. Consumer investments data review 2020

    Data Published: 18/01/2021 Last modified: 13/06/2023
    A summary of the FCA's work to tackle consumer harm in the investment market, between 1 January and 31 October 2020.