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Showing 22 to 31 of 313 search results for gave an individual a warning notice.

22. 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.

23. Warning notice statement 17/4 – Individual [pdf]

    Warning notices Published: 24/02/2017
    The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 26 January 2017 proposing to take action in respect of the conduct summarised in this statement.

24. Warning notice statement 17/1 – Individual [pdf]

    Warning notices Published: 13/01/2017
    The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 12 December 2016 proposing to take action in respect of the conduct summarised in this statement.

25. Warning notice statement 14/1 – Individual [pdf]

    Warning notices Published: 03/02/2014 Last modified: 03/02/2014
    The Financial Conduct Authority (the FCA) gave an individual a warning notice on 28 November 2013 proposing to take action in respect of the conduct summarised in this statement.

26. Warning Notice Statement 24/2 [pdf]

    Warning notices Published: 21/02/2024
    The FCA gave two individuals warning notices on 13 July 2023 proposing to take action in respect of the conduct summarised in this statement.

27. Warning Notice Statement 23/5 [pdf]

    Warning notices Published: 18/05/2023
    The FCA gave 3 individuals warning notices on 17 February 2023 proposing to take action in respect of the conduct summarised in this statement.

28. Warning Notice Statement 24/1 [pdf]

    Warning notices Published: 08/01/2024
    The FCA gave an individual a warning notice on 16 November 2023 proposing to take action in respect of the conduct summarised in this statement.

29. Warning Notice Statement 23/2 [pdf]

    Warning notices Published: 20/04/2023
    The FCA gave an individual a warning notice on 6 March 2023 proposing to take action in respect of the conduct summarised in this statement.

30. Warning Notice Statement 23/3 [pdf]

    Warning notices Published: 20/04/2023
    The FCA gave an individual a warning notice on 6 March 2023 proposing to take action in respect of the conduct summarised in this statement.

31. Warning Notice Statement 21/1 [pdf]

    Warning notices Published: 10/09/2021
    The Financial Conduct Authority (the FCA) gave three individuals warning notices on 16 July 2021 proposing to take action in respect of conduct summarised in this statement.

32. Warning Notice Statement 21/3 [pdf]

    Warning notices Published: 07/10/2021
    The Financial Conduct Authority gave an individual a warning notice on 16 September 2021 proposing to take action in respect of the conduct summarised in this statement.