Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 23 to 32 of 114 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. 2022 fines

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

  4. Warning Notice Statement 22/3 [pdf]

    Warning notices Published: 20/10/2022
    The FCA gave a warning notice on 10 August 2022 to an individual (Individual A) working as a director and independent financial adviser at an advisory firm (Firm A) whilst an approved person proposing to take action in respect of the conduct

  5. Warning Notice Statement 22/2 [pdf]

    Warning notices Published: 16/03/2022
    On 17 January 2022, the Financial Conduct Authority (the FCA) gave Metro Bank plc and certain individuals a warning notice each, proposing to take action in respect of the conduct summarised in this statement.

  6. Warning Notice Statement 21/2 [pdf]

    Warning notices Published: 30/09/2021
    The Financial Conduct Authority (the FCA) gave three individuals a warning notice on 10 August 2021 proposing to take action in respect of the conduct summarised in this statement.

  7. 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.

  8. 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.

  9. Warning notice statement 14/1 – Individual [pdf]

    Warning notices Published: 03/02/2014 Last modified: 03/02/2014
    The Financial Conduct Authority (the FCA) gave an individual a warning notice on 28 November 2013 proposing to take action in respect of the conduct summarised in this statement.

  10. Regulatory Sandbox accepted firms

    Firms Published: 27/03/2022 Last modified: 24/05/2024
    Firms that have been accepted into the Regulatory Sandbox, including previous cohorts.

  11. 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.

  12. Warning notice statement 17/2 – Individual [pdf]

    Warning notices Published: 06/02/2017
    The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 17 January 2017 proposing to take action in respect of the conduct summarised in this statement.