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Showing 43 to 52 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 14/13 – 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 15 May 2014 proposing to take action in respect of the conduct summarised in this statement.

  4. Warning notice statement 14/15 – 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 June 2014 proposing to take action in respect of the conduct summarised in this statement.

  5. 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.

  6. Market Watch 67

    Newsletters Published: 28/05/2021 Last modified: 28/05/2021
    Newsletter on market conduct and transaction reporting issues.

  7. REP data items FAQs

    Published: 04/03/2016 Last modified: 21/04/2023
    REP data items FAQs

  8. FCA confirms how it will use new power to publicise warning notices

    Press Releases Published: 15/10/2013 Last modified: 15/10/2013
    A published warning notice statement will ordinarily include a brief summary of the facts which gave rise to the warning notice to enable consumers, firms and market users to understand the ... The FCA was consulting on the power to publicise warning

  9. Immigration Act 2014

    Tasks for firms Published: 10/11/2015 Last modified: 29/02/2024
    The FCA explains how the Immigration Act 2014 prohibits banks and building societies from opening current accounts for people who are known not to have leave to remain in or to enter the UK.

  10. Two individuals face bans and £1.3m fine for pension transfer advice failings

    Press Releases Published: 01/09/2023 Last modified: 01/09/2023
    The FCA has decided to fine Toni Fox £681,536 and David Price £632,594 for their roles in operating a flawed pension advice process.

  11. Consumer credit – Treating customers fairly

    Consumer credit firms Published: 23/04/2019 Last modified: 16/02/2023
    We set out why treating customers fairly should be at the heart of your business.

  12. Benchmarks Regulation: our powers, policy and decision-making

    Markets Published: 18/11/2020 Last modified: 02/04/2024
    Our policy approach to exercising our powers over critical benchmarks, and our decisions to use these powers to help manage an orderly wind-down of LIBOR.