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Showing 1 to 11 of 111 search results for gave an individual a Warning Notice on 18.

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 14/16 – 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 July 2014 proposing to take action in respect of the conduct summarised in this statement.

3. Warning notice statement 14/14 – 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.

4. 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.

5. Warning notice statement 14/15 – 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.

6. 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).

7. 2013 fines

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

8. 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.

9. Regulatory Decisions Committee (RDC)

   About us Who we are Published: 06/04/2016 Last modified: 24/01/2024
   The RDC helps to ensure that contested enforcement decisions are made fairly. Find out more about the process and who sits on the committee.

10. 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.

11. 2018 Disclosure Log

    Last modified: 14/09/2020
    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.