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Showing 122 to 131 of 313 search results for gave an individual a warning notice.

122. 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.

123. Forex trading scams

     Consumers Scams Published: 10/08/2017 Last modified: 20/03/2023
     Find out how unauthorised forex trading and brokerage firms work, how to avoid scams and what to do if you’re scammed.

124. Warning Notice Statement 22/1 [pdf]

     Warning notices Published: 01/02/2022
     Warning Notice Statement 22/1.

125. Binary options scams

     Consumers Scams Published: 10/08/2017 Last modified: 20/03/2023
     Find out how binary options work, how to avoid scams and what to do if you’re scammed.

126. Information on general insurance - October 2022

     FOI Release Date of Release: 17/10/2022
     FCA provides information on Acquisition of general insurance brokers approved and declined.

127. REP data items FAQs

     Published: 04/03/2016 Last modified: 21/04/2023
     REP data items FAQs

128. Personal data and enforcement

     Last modified: 22/02/2023
     How and why the FCA uses personal data to carry out its enforcement functions.

129. Knowledge Base

     Markets Primary markets Published: 02/05/2016 Last modified: 29/04/2024
     The Knowledge Base is our source of technical guidance on our Listing Rules, Prospectus Regulation Rules and Disclosure and Transparency Rules.

130. Using the Financial Services Register

     Consumers Your rights Published: 20/03/2023 Last modified: 14/12/2023
     Find out how to check if a firm is authorised, what it means if you’re using an Appointed Representative, and what to do if a firm is unauthorised.

131. Open-ended funds investing in less liquid assets

     Speeches Published: 19/03/2020 Last modified: 19/03/2020
     Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy, to Investment Association members.

132. Charles Randell speech at the Annual Public Meeting 2018

     Speeches Published: 11/09/2018 Last modified: 11/09/2018
     Speech by Charles Randell, Chair, Financial Conduct Authority, delivered at the Annual Public Meeting at the QEII Centre, Westminster.