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Showing 42 to 51 of 313 search results for gave an individual a warning notice.
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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. -
Information in relation to Premier FX - May 2021
The FCA provides a chronological list of organisations the Head of the FCA's Claims Management Companies department met with. -
British Steel Pension Scheme – our approach to enforcement
Read about the FCA's investigations into firms and individuals who provided unsuitable advice to consumers to transfer out of the British Steel Pension Scheme (BSPS), as well as other defined benefit (DB) pension schemes. -
Information we can share
A guide to what the FCA can and can’t share with the public about firms, people, and markets. -
Considerations for firms after the transition period
Find out how Temporary Transitional Power (TTP) may affect you. It will depend on several factors, including the nature of your business and where your customers are located. -
Regulatory Decisions Committee (RDC)
The RDC helps to ensure that contested enforcement decisions are made fairly. Find out more about the process and who sits on the committee. -
Financial watchdog fines Equifax Ltd £11 million for role in one of the largest cyber security breaches in history
FCA fines Equifax £11,164,400 for failing to manage and monitor the security of UK consumer data it had outsourced to its parent company based in the US. -
Mutual societies registration function: 2022-23
An update on the FCA's work and a breakdown of societies on the register. -
Partly contested cases, the pipeline and AML investigations
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime. -
Primary Market Bulletin 46
This edition covers Article 10 UK MAR and ESG stewardship and TCFD-aligned disclosures: sponsor procedures. -
2018 Disclosure Log
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 2018.