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Showing 53 to 62 of 113 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. -
Market abuse
Behaviour such as insider dealing and market manipulation can amount to market abuse. Find out more about the safeguards firms must have in place. -
Information in relation to Premier FX - May 2021
The FCA provides a chronological list of organisations the Head of the FCA's Claims Management Companies department met with. -
Information we can share
A guide to what the FCA can and can’t share with the public about firms, people, and markets. -
British Steel Pension Scheme – our approach to enforcement
Read about the FCA's investigations into firms and individuals who provided unsuitable advice to consumers to transfer out of the British Steel Pension Scheme (BSPS), as well as other defined benefit (DB) pension schemes. -
Privacy notice
The FCA's privacy notice explains how and why it uses your personal data. -
2016 Disclosure Log
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 2016. -
Considerations for firms after the transition period
Find out how Temporary Transitional Power (TTP) may affect you. It will depend on several factors, including the nature of your business and where your customers are located. -
FCA and PRA publish final changes to enhance enforcement decision-making processes
The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have today published final changes in a Policy Statement (PS) aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes -
Credit unions carrying out consumer credit activities
Find out how to notify the FCA or apply for permission to carry out Conditional Sale, Hire Purchase or other types of consumer credit activity. -
Regulatory Decisions Committee (RDC)
The RDC helps to ensure that contested enforcement decisions are made fairly. Find out more about the process and who sits on the committee.