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Showing 1 to 12 of 113 search results for gave an individual a warning notice on 16.

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. 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.

3. Warning notice statement 16/2 – Individual [pdf]

   Warning notices Published: 21/01/2016 Last modified: 21/01/2016
   The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 19 November 2015 proposing to take action in respect of the conduct summarised in this statement.

4. Warning notice statement 16/1 – Individual [pdf]

   Warning notices Published: 11/01/2016 Last modified: 11/01/2016
   The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 7 December 2015 proposing to take action in respect of the conduct summarised in this statement.

5. 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.

6. Warning Notice Statement 24/1 [pdf]

   Warning notices Published: 08/01/2024
   The FCA gave an individual a warning notice on 16 November 2023 proposing to take action in respect of the conduct summarised in this statement.

7. Warning Notice Statement 21/1 [pdf]

   Warning notices Published: 10/09/2021
   The Financial Conduct Authority (the FCA) gave three individuals warning notices on 16 July 2021 proposing to take action in respect of conduct summarised in this statement.

8. Warning Notice Statement 21/3 [pdf]

   Warning notices Published: 07/10/2021
   The Financial Conduct Authority gave an individual a warning notice on 16 September 2021 proposing to take action in respect of the conduct summarised in this statement.

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

   Warning notices Published: 03/03/2014 Last modified: 02/06/2014
   The Financial Conduct Authority (the FCA) gave an individual a warning notice on 16 January 2014 proposing to take action in respect of the conduct summarised in this statement.

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

    Warning notices Published: 03/03/2014 Last modified: 03/03/2014
    The Financial Conduct Authority (the FCA) gave an individual a warning notice on 16 January 2014 proposing to take action in respect of the conduct summarised in this statement.

11. Warning Notice Statement 24/2 [pdf]

    Warning notices Published: 21/02/2024
    The FCA gave two individuals warning notices on 13 July 2023 proposing to take action in respect of the conduct summarised in this statement.

12. 2013 fines

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