Search results
Showing 92 to 101 of 313 search results for gave an individual a warning notice.
-
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. -
Mortgage Payment Protection Insurance (MPPI)
Read details of the agreement drawn up between the FCA and the MPPI industry to ensure customers receive fair treatment, outlining the action firms should take and where you can find further information. -
Market Watch 67
Newsletter on market conduct and transaction reporting issues. -
Enforcement
Find out more about FCA enforcement powers, including how we protect consumers and act against firms and individuals that don’t meet our standards. -
British Steel Pension Scheme: Tools for firms
The FCA rules require firms to assess any advice they gave to BSPS members to transfer out and pay redress if it was unsuitable and caused the consumer a loss. Find out more about the tools firms need to use and read the supporting documents. -
Copyright notice
Find out more about using or copying material on our website and terms and conditions for reproducing accompanying materials. -
What we publish
We publish a wide range of publications: consultations, policy papers, decision-making documents, research and other useful information. Find out more about the types of documents available. -
2020 fines
This page contains information about enforcement fines published during the calendar year ending 2020. -
2023 fines
Enforcement fines published in 2023. -
2022 fines
Enforcement fines published in 2022. -
AXA fined and reviews investment sales for advice failings
The Financial Conduct Authority (FCA) has fined AXA Wealth Services Ltd (AXA) £1,802,200 for failing to ensure it gave suitable investment advice to its customers.