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Showing 82 to 91 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. -
Cost of living consumer credit data collection
More information on the collection of data from consumer credit firms so we can monitor and assess the impact of the rising cost of living on consumers -
Warning Notice Statement 24/3 [pdf]
The FCA gave Woodford Investment Management Limited and Neil Woodford warning notices on 19 February 2024 proposing to take action in respect of the conduct summarised in this statement. -
Warning Notice Statement 21/5 [pdf]
On 15 December 2021, the FCA gave GIML a warning notice proposing to take action in respect of the conduct summarised in this statement. -
Warning Notice Statement 21/6 [pdf]
On 15 December 2021, the FCA gave Mr Haywood a warning notice proposing to take action in respect of the conduct summarised in this statement. -
Warning Notice Statement 20/2 [pdf]
On 18 September 2020, the Financial Conduct Authority (the FCA) gave Carillion plc (in liquidation since 15 January 2018) and certain previous executive directors of Carillion a warning notice each, proposing to take action in respect of the conduct -
Warning Notice Statement 21/4 [pdf]
The Financial Conduct Authority gave a firm a Warning Notice on 16 September 2021 proposing to take action in respect of the conduct summarised in this statement. -
Warning notice statement 17/5 – Firm [pdf]
The Financial Conduct Authority (the FCA) gave Interactive Brokers (UK) Ltd (IBUK) a warning notice on 25 July 2017 proposing to take action in respect of the conduct summarised in this statement. -
Warning notice statement 14/11 – Firm [pdf]
The Financial Conduct Authority (the FCA) gave a firm a Warning Notice on 30 April 2014 proposing to take action in respect of the conduct summarised in this statement. -
Directions and requirements placed on Samweb for providing misleading information to consumers
FCA has issued First and Second Supervisory Notices. -
FCA bans two individuals for lack of integrity
These two individuals misused pension funds, endangering the retirement incomes of hundreds of people. ... In one case he gave unsuitable advice to a customer to invest in an unregulated collective investment scheme (UCIS).