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Showing 13 to 22 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. 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).

  4. Business interruption insurance

    Firms Focus areas Published: 11/05/2020 Last modified: 30/04/2024
    Find out about how we obtained legal clarity on business interruption (BI) insurance during the coronavirus (Covid-19) crisis. 

  5. 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. 

  6. Warning Notice Statement 21/4 [pdf]

    Warning notices Published: 03/11/2021
    The Financial Conduct Authority gave a firm a Warning Notice on 16 September 2021 proposing to take action in respect of the conduct summarised in this statement.

  7. Directions and requirements placed on Samweb for providing misleading information to consumers

    News stories Published: 07/11/2022 Last modified: 16/11/2022
    FCA has issued First and Second Supervisory Notices.

  8. Warning Notice Statement 23/5 [pdf]

    Warning notices Published: 18/05/2023
    The FCA gave 3 individuals warning notices on 17 February 2023 proposing to take action in respect of the conduct summarised in this statement.

  9. 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.

  10. 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.

  11. 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.

  12. 2022 fines

    News stories Published: 28/02/2022 Last modified: 04/01/2023
    Enforcement fines published in 2022.