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Showing 33 to 42 of 114 search results for gave an individual a warning notice on 16.
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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). -
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. -
Warning notice statement 17/3 – Individual [pdf]
The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 26 January 2017 proposing to take action in respect of the conduct summarised in this statement. -
Warning notice statement 17/4 – Individual [pdf]
The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 26 January 2017 proposing to take action in respect of the conduct summarised in this statement. -
Warning notice statement 15/1 – Individual [pdf]
The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 12 May 2015 proposing to take action in respect of the conduct summarised in this statement. -
Warning notice statement 15/2 – Individual [pdf]
The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 12 May 2015 proposing to take action in respect of the conduct summarised in this statement. -
Warning notice statement 14/2 – Individual [pdf]
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. -
Warning notice statement 14/8 – Individual [pdf]
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. -
Warning notice statement 14/9 – Individual [pdf]
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. -
Warning notice statement 14/7 – Individual [pdf]
The Financial Conduct Authority (the FCA) gave an individual a warning notice on 26 February 2014 proposing to take action in respect of the conduct summarised in this statement. -
Warning notice statement 14/6 – Individual [pdf]
The Financial Conduct Authority (the FCA) gave an individual a warning notice on 26 February 2014 proposing to take action in respect of the conduct summarised in this statement. -
Warning notice statement 14/3 – Individual [pdf]
The Financial Conduct Authority (the FCA) gave an individual a warning notice on 21 January 2014 proposing to take action in respect of the conduct summarised in this statement.