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Showing 32 to 41 of 313 search results for gave an individual a warning notice.

32. 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.

33. 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.

34. Warning Notice Statement 20/1 [pdf]

    Warning notices Published: 19/03/2020
    The Financial Conduct Authority gave an individual a warning notice on 19 March 2020 proposing to take action in respect of the conduct summarised in this statement.

35. Warning Notice Statement 19/1 [pdf]

    Warning notices Published: 25/03/2019
    The Financial Conduct Authority gave an individual a warning notice on 12 February 2019 proposing to take action in respect of the conduct summarised in this statement.

36. Warning Notice Statement 23/1 [pdf]

    Warning notices Published: 06/03/2023
    The FCA gave the following 2 individuals warning notices on 28 September 2022 proposing to take action (being the imposition of financial penalties) in respect of the conduct summarised in this statement.

37. Warning Notice Statement 22/3 [pdf]

    Warning notices Published: 20/10/2022
    The FCA gave a warning notice on 10 August 2022 to an individual (Individual A) working as a director and independent financial adviser at an advisory firm (Firm A) whilst an approved person proposing to take action in respect of the conduct

38. Warning Notice Statement 22/2 [pdf]

    Warning notices Published: 16/03/2022
    On 17 January 2022, the Financial Conduct Authority (the FCA) gave Metro Bank plc and certain individuals a warning notice each, proposing to take action in respect of the conduct summarised in this statement.

39. 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

40. 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.

41. Information on enforcement investigations opened against individuals (SMR) - May 2022

    FOI Release Date of Release: 11/05/2022
    The FCA provides data on enforcement investigations opened against individuals (SMR).

42. 2013 fines

    News stories Published: 02/01/2013 Last modified: 26/03/2024
    Fines published during the calendar year ending December 2013.