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Showing 1 to 11 of 1197 search results for issue a warning notice.

1. 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.

2. Statutory notices issued by the RDC

   Who we are Published: 19/07/2022 Last modified: 22/02/2024
   Find out more about warning notices and decision notices issued by the Regulatory Decisions Committee (RDC), the documents you’ll receive if you get one, and how to respond.

3. FCA issues Final Notice to former CEO for anti-money laundering failings

   Press Releases Published: 18/11/2022 Last modified: 18/11/2022
   We have publicly censured Mohammad Ataur Rahman Prodhan, the former Chief Executive Officer of Sonali Bank (UK) Limited (SBUK) for anti-money laundering (AML) failings.

4. Market Watch 79

   Newsletters Published: 09/05/2024 Last modified: 09/05/2024
   Newsletter on market abuse surveillance and data governance, surveillance failures and the FCA's model testing peer review, May 2024.

5. What we publish

   Last modified: 19/03/2024
   We publish a wide range of publications: consultations, policy papers, decision-making documents, research and other useful information. Find out more about the types of documents available.

6. FCA bans and fines James Lewis £120,300 for putting investors at risk

   Press Releases Published: 07/05/2024 Last modified: 07/05/2024
   James Lewis, the former CEO of Shard Capital Partners, has been fined £120,300 and banned by the FCA.

7. Unfair contract terms library

   Tasks for firms Published: 03/08/2015 Last modified: 09/05/2024
   The FCA's work on unfair contract terms including past undertakings, agreements and other publications.

8. Our refusal process

   Firm authorisation Published: 06/09/2023 Last modified: 30/11/2023
   Understand the process if the FCA refuses your application for authorisation.

9. Information sheets: consumer credit

   Tasks for firms Published: 09/05/2015 Last modified: 03/05/2024
   Consumer credit firms can download the information sheets to accompany arrears and default notices

10. Enforcement

    About us How we regulate Published: 21/04/2016 Last modified: 02/04/2024
    Find out more about FCA enforcement powers, including how we protect consumers and act against firms and individuals that don’t meet our standards.

11. The Financial Lives survey

    Financial Lives Published: 18/06/2018 Last modified: 10/04/2024
    Financial Lives is the FCA's flagship nationally representative survey of UK consumers. It provides information about consumers’ attitudes towards managing their money, the financial products they have and their experiences of engaging with