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Showing 83 to 92 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. -
Service standards 2020/21
The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2020/21. -
FCA fines Pembrokeshire Mortgage Centre Ltd £2.4m for serious failings in relation to the British Steel Pension Scheme
The FCA has fined Pembrokeshire Mortgage Centre Limited (PMC) (trading as County Financial Consultants) (in liquidation) £2,354,331 for giving consumers unsuitable advice to transfer out of the British Steel Pension Scheme and other defined benefit -
PS22/7: FCA regulated fees and levies 2022/23
We publish our final 2022/23 regulated fees and levies including feedback on CP21/7. -
Primary Market Bulletin 40
In this edition we provide feedback on our consultation in PMB 34 and highlight changes to the Knowledge Base on the prospectus regime as a result of the consultation. -
FCA fines Bank of Scotland for failing to report suspicions of fraud at HBOS Reading
The Financial Conduct Authority (FCA) has today fined Bank of Scotland (BOS) £45,500,000 for failures to disclose information about its suspicions that fraud may have occurred at the Reading-based Impaired Assets (IAR) team of Halifax Bank of -
The FCA’s Competition Powers
Speech by Deb Jones, Director of Competition at the FCA, delivered at The Impact of Competition Powers on Financial Services Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA highlights continuing concerns about problem firms in the CFD sector
FCA has written to CFD providers outlining expectations and highlighting areas of poor practice seen in firms. -
FCA bans and fines two individuals for pension advice failings
Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA). -
FCA outcomes and metrics
The FCA is committed to being clear about how it is accountable for its progress. On this page the FCA sets out its outcomes and the metrics it will use to measure them. -
FCA publishes Decision Notices for Carillion plc (in liquidation) and three of its former executive directors
The FCA has imposed a public censure on Carillion, rather than a financial penalty, given the firm is insolvent and in liquidation