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Showing 1 to 10 of 134 search results for gave an individual a Warning Notice on 6 March.

1. Warning Notice Statement 23/2 [pdf]

   Warning notices Published: 20/04/2023
   The FCA gave an individual a warning notice on 6 March 2023 proposing to take action in respect of the conduct summarised in this statement.

2. Warning Notice Statement 23/3 [pdf]

   Warning notices Published: 20/04/2023
   The FCA gave an individual a warning notice on 6 March 2023 proposing to take action in respect of the conduct summarised in this statement.

3. Warning Notice Statement 20/1 [pdf]

   Warning notices Published: 19/03/2020
   The Financial Conduct Authority gave an individual a warning notice on 19 March 2020 proposing to take action in respect of the conduct summarised in this statement.

4. Warning notice statement 14/8 – Individual [pdf]

   Warning notices Published: 15/04/2014 Last modified: 15/04/2014
   The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 6 March 2014 proposing to take action in respect of the conduct summarised in this statement.

5. Warning notice statement 14/9 – Individual [pdf]

   Warning notices Published: 15/04/2014 Last modified: 15/04/2014
   The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 6 March 2014 proposing to take action in respect of the conduct summarised in this statement.

6. Warning notice statement 14/10 – Individual [pdf]

   Warning notices Published: 12/05/2014 Last modified: 13/05/2014
   The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 24 March 2014 proposing to take action in respect of the conduct summarised in this statement.

7. 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).

8. Mutual societies registration function: 2022-23

   Mutual societies Corporate documents Published: 26/05/2023 Last modified: 26/05/2023
   An update on the FCA's work and a breakdown of societies on the register.  

9. 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

10. 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.