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Showing 1 to 11 of 167 search results for gave an individual a Warning Notice on 12.

1. Financial Services Register

   To look up details of firms, use The Financial Services Register. The register is a public record that shows details of firms, individuals and other bodies that are, or have been, regulated by the Prudential Regulation Authority (PRA) and/or the Financial Conduct Authority (FCA).

2. Warning notice statement 14/12 – Individual [pdf]

   Warning notices Published: 08/08/2014 Last modified: 08/08/2014
   The Financial Conduct Authority (the FCA) gave an individual a warning notice on 18 June 2014 proposing to take action in respect of the conduct summarised in this statement.

3. 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.

4. Warning notice statement 17/1 – Individual [pdf]

   Warning notices Published: 13/01/2017
   The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 12 December 2016 proposing to take action in respect of the conduct summarised in this statement.

5. Warning notice statement 15/1 – Individual [pdf]

   Warning notices Published: 26/06/2015 Last modified: 29/06/2015
   The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 12 May 2015 proposing to take action in respect of the conduct summarised in this statement.

6. Warning notice statement 15/2 – Individual [pdf]

   Warning notices Published: 26/06/2015 Last modified: 29/06/2015
   The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 12 May 2015 proposing to take action in respect of the conduct summarised in this statement.

7. 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.

8. 2013 fines

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

9. 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).

10. Information we can share

    Last modified: 05/01/2024
    A guide to what the FCA can and can’t share with the public about firms, people, and markets.

11. Considerations for firms after the transition period

    Firms Published: 11/07/2018 Last modified: 12/03/2024
    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.