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Showing 1 to 12 of 100 search results for gave an individual a warning notice on 26.

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 17/3 – Individual [pdf]

   Warning notices Published: 24/02/2017
   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.

4. Warning notice statement 17/4 – Individual [pdf]

   Warning notices Published: 24/02/2017
   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.

5. Warning notice statement 14/7 – Individual [pdf]

   Warning notices Published: 27/03/2014 Last modified: 27/03/2014
   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.

6. Warning notice statement 14/6 – Individual [pdf]

   Warning notices Published: 27/03/2014 Last modified: 27/03/2014
   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.

7. 2013 fines

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

8. Information on enforcement investigations opened against individuals (SMR) - May 2022

   FOI Release Date of Release: 11/05/2022
   The FCA provides data on enforcement investigations opened against individuals (SMR).

9. Mutual societies registration function: 2022-23

   Mutual societies Corporate documents Published: 26/05/2023 Last modified: 26/05/2023
   An update on the FCA's work and a breakdown of societies on the register.  

10. 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.

11. Business interruption insurance

    Firms Focus areas Published: 11/05/2020 Last modified: 30/04/2024
    Find out about how we obtained legal clarity on business interruption (BI) insurance during the coronavirus (Covid-19) crisis. 

12. Our Perimeter Report

    Annual reports Published: 20/07/2022 Last modified: 05/04/2024
    Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products