Search results

Showing 52 to 61 of 313 search results for gave an individual a warning notice.

52. 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.

53. Business interruption insurance

    Firms Focus areas Published: 11/05/2020 Last modified: 30/04/2024
    Find out about how we obtained legal clarity on business interruption (BI) insurance during the coronavirus (Covid-19) crisis. 

54. FCA fines Pembrokeshire Mortgage Centre Ltd £2.4m for serious failings in relation to the British Steel Pension Scheme

    Press Releases Published: 02/12/2022 Last modified: 02/12/2022
    The FCA has fined Pembrokeshire Mortgage Centre Limited (PMC) (trading as County Financial Consultants) (in liquidation) £2,354,331 for giving consumers unsuitable advice to transfer out of the British Steel Pension Scheme and other defined benefit

55. The FCA’s Competition Powers

    Speeches Published: 23/03/2016 Last modified: 09/11/2016
    Speech by Deb Jones, Director of Competition at the FCA, delivered at The Impact of Competition Powers on Financial Services Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

56. FCA publishes Decision Notices for Carillion plc (in liquidation) and three of its former executive directors

    Press Releases Published: 28/07/2022 Last modified: 28/07/2022
    The FCA has imposed a public censure on Carillion, rather than a financial penalty, given the firm is insolvent and in liquidation

57. Comparison of banking providers’ fraud controls

    Data Published: 09/03/2020 Last modified: 07/08/2020
    This page contains information about banks’ fraud controls. It is intended to enable consumers and consumer groups to compare how banks protect their customers against fraud, and to help consumers to make better informed choices about their

58. Our Perimeter Report

    Annual reports Published: 20/07/2022 Last modified: 05/04/2024
    Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products

59. FCA fines Lloyds Banking Group firms a total of £28,038,800 for serious sales incentive failings

    Press Releases Published: 11/12/2013 Last modified: 25/11/2021
    The Financial Conduct Authority (FCA) has fined Lloyds TSB Bank plc and Bank of Scotland plc, both part of Lloyds Banking Group (LBG), £28,038,800 for serious failings in their controls over sales incentive schemes.

60. Enforcement

    About us How we regulate Published: 21/04/2016 Last modified: 02/04/2024
    Find out more about FCA enforcement powers, including how we protect consumers and act against firms and individuals that don’t meet our standards.

61. Kenneth Carver fined £35,212 for insider dealing

    Press Releases Published: 30/03/2015 Last modified: 30/11/2016
    Market abuse is a serious offence and today’s fine reflects the fact that we will not hesitate in taking action against individuals who act on inside information. ... Carver gave significant co-operation and provided a detailed account of events at an

62. Information for ARM investors

    News stories Published: 04/10/2013 Last modified: 04/10/2013
    There have been a number of developments recently that affect investors in bonds issued by ARM Asset Backed Securities SA (ARM), a securitisation vehicle based in Luxembourg. We take a look at some frequently asked questions.