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Showing 1 to 12 of 22 search results for gave an individual a warning notice on 18 June 2014.

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 14/14 – 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.

4. Warning notice statement 14/12 – 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 14/15 – 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.

6. 2018 Disclosure Log

   Last modified: 14/09/2020
   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 2018. 

7. Regulatory Decisions Committee (RDC)

   About us Who we are Published: 06/04/2016 Last modified: 24/01/2024
   The RDC helps to ensure that contested enforcement decisions are made fairly. Find out more about the process and who sits on the committee.

8. Warning notice statement 14/16 – 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 July 2014 proposing to take action in respect of the conduct summarised in this statement.

9. Primary Market Bulletin 49

   Newsletters Published: 20/05/2024 Last modified: 31/05/2024
   This issue looks at Annual financial reporting, Long Term Incentive Plans (LTIPs) Global Depositary Receipts (GDRs) report  

10. Former senior trader sentenced for insider dealing

    Press Releases Published: 19/03/2015 Last modified: 05/04/2023
    In a case brought by the Financial Conduct Authority (FCA), Julian Rifat – a former senior execution trader and portfolio strategist at Moore Europe Capital Management LLC – has today been sentenced at Southwark Crown Court to 19 months

11. 2013 fines

    News stories Published: 02/01/2013 Last modified: 26/03/2024
    Fines published during the calendar year ending December 2013.

12. UK EMIR news

    Markets policy Published: 23/05/2016 Last modified: 02/05/2024
    Read our archive of news relating to EMIR dating back to August 2013.