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Showing 82 to 91 of 1197 search results for issue a warning notice.
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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. -
Information on investigations concerning Cum-Ex trades - June 2022
The FCA anwers mutiple questions on investigations relating to Cum-Ex trades. -
Primary Market Bulletin 42
In this edition we cover areas including climate related disclosures, the National Security and Investment Act, unlawful disclosure by Sir Christopher Gent and rules and guidance for cash shells and SPACS on reverse takeovers. -
Primary Market Bulletin 48
This special edition consults on changes we propose to make to guidance in our Knowledge Base -
FSA data items FAQs
On this page we provide guidance and information for firms on how to complete FSA reports. -
The Financial Services Regulatory Partners Phoenixing Group
The Financial Services Regulatory Partners Phoenixing Group have met to discuss the progress which they have seen in tackling phoenixing in financial services since the group was launched in April this year. -
Business Plan 2022/23
The FCA Business Plan details the work we'll do over the next 12 months to help deliver the commitments in our Strategy. -
Business Plan 2023/24
The FCA's Business Plan details the work it will do over the next 12 months to help deliver the commitments in its Strategy. -
Effective global regulation in capital markets
Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London -
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. -
Cyber and technology resilience in UK financial services
Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at Bloomberg, London.