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Showing 102 to 111 of 313 search results for gave an individual a warning notice.

102. 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.

103. Warning Notice Statement 23/4 [pdf]

     Warning notices Published: 03/05/2023
     The notice concerns the conduct of an individual who worked as a financial adviser whilst an approved person at a small financial advice firm.

104. Immigration Act 2014

     Tasks for firms Published: 10/11/2015 Last modified: 29/02/2024
     The FCA explains how the Immigration Act 2014 prohibits banks and building societies from opening current accounts for people who are known not to have leave to remain in or to enter the UK.

105. Alexander David Securities Limited enters liquidation

     News stories Published: 04/07/2022 Last modified: 14/10/2022
     On 1 July 2022 Alexander David Securities Limited (ADSL) entered creditors’ voluntary liquidation and Shane Cooks, Emma Sayers and Malcolm Cohen of BDO LLP were appointed as joint liquidators.

106. 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.

107. Consumer Duty implementation plans

     Focus areas Multi-firm reviews Published: 25/01/2023 Last modified: 25/01/2023
     The Consumer Duty will set higher and clearer standards of consumer protection across financial services and require firms to act to deliver good outcomes for customers. The FCA sets out here the findings from their review of firms’ plans to embed

108. 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.

109. Pension scams

     Consumers Scams Published: 10/08/2017 Last modified: 20/03/2023
     Don’t let a scammer enjoy your retirement. Find out how pension scams work, how to avoid them, and what to do if you suspect a scam.

110. 2016 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 2016. 

111. Our use of cookies

     Last modified: 15/12/2023
     Find out about the individual cookies the FCA uses on fca.org.uk, and why it uses them.

112. Besso Limited fined for anti-bribery and corruption systems failings

     Press Releases Published: 19/03/2014 Last modified: 19/03/2014
     The FCA found that Besso, a general insurance broker, operated a weak control environment surrounding the sharing of commissions with third parties which gave rise to an unacceptable risk that they ... Despite receiving two visits from us, and numerous