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Showing 1 to 11 of 1183 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. Financial promotions quarterly data 2024 Q1

   Data Published: 26/04/2024 Last modified: 26/04/2024
   We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 January 2024 and 31 March 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. 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.

7. Primary Market Bulletin 48

   Newsletters Published: 26/04/2024 Last modified: 26/04/2024
   This special edition consults on changes we propose to make to guidance in our Knowledge Base

8. 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.

9. 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

10. FCA publishes warning notice statements for GAM International Management and Timothy Haywood

    Press Releases Published: 16/12/2021 Last modified: 16/12/2021
    The Financial Conduct Authority (FCA) has fined GAM international Management Limited £9.1m and Timothy Hayward £230,037 for conflicts of interest and gifts & entertainment matters.

11. Accessibility

    Last modified: 18/01/2024
    Find out about the individual cookies we use on the Panels' website, and why we use them.