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Showing 92 to 101 of 1205 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. -
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. -
Share, bond and boiler room scams
Find out how share and bond scams work, how to avoid them and what to do if you’re scammed. -
Statement on communications in relation to PRIIPs and UCITS
Issuing limited forbearance to allow firms to provide additional disaggregated disclosure on costs and charges to support the aggregated figure. This is the result of engagement with the investment trust industry. -
Moving towards a sustainable model of regulation
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the ABI (Association of British Insurers) Conference in London. This is the text of the speech as drafted, which may differ from the delivered version. -
Consumer investments data review April 2020 - March 2021
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2020 and 31 March 2021. -
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. -
The role and responsibilities of a Sponsor
A Sponsor must be appointed and their role clear. Learn about the different principles for sponsors, their role, what they need to provide to us and protection. -
Payment Services Regulations 2017 and Electronic Money Regulations 2011
The FCA provides information on the regulation of payment services and e-money, including who is affected by the rules. -
CP16/8: Quarterly Consultation Paper No. 12
Once a quarter, we consult on proposed miscellaneous amendments to our Handbook. These tend to be minor changes but we still want to get your feedback on our proposals. -
Investigation opening criteria
Factors we consider when deciding to open an investigation, including how we assess serious misconduct.