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Showing 1 to 11 of 523 search results for subject-matter of 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. FSA CP13/8: Publishing information about warning notices

   Consultation papers Published: 18/03/2013 Last modified: 12/01/2023
   This consultation paper sets out our proposals on how the FCA will publish information about the subject-matter of a warning notice if it considers it to be appropriate.

3. FSA - CP13/8 Publishing information about warning notices [pdf]

   Consultation papers Published: 18/03/2013 Last modified: 30/05/2013
   Consultation FSA - CP13/8 - This consultation paper (CP) sets out our proposals on how the FCA will publish information about the subject-matter of a warning notice if it considers it to be appropriate.

4. Information on redress awarded under restitution orders - August 2021

   FOI Release Date of Release: 16/08/2021
   The FCA provides information on the amount of redress awarded under restitution orders as a result of the FCA's work on scams.

5. Primary Market Bulletin 46

   Newsletters Published: 19/12/2023 Last modified: 19/12/2023
   This edition covers Article 10 UK MAR and ESG stewardship  and TCFD-aligned disclosures: sponsor procedures.

6. Participate in FCA website user testing

   Last modified: 08/05/2024
   Warning message. ... See our privacy notice for further information about the way we use the personal data collected in this form.

7. Innovation Pathways

   Firms Published: 27/03/2022 Last modified: 09/05/2024
   Innovation Pathways can help if you have questions about regulation and how it applies to your innovative product. Find out more and how to apply.

8. 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.

9. Personal data and FCA news, events and groups

   Last modified: 09/05/2024
   Find out how and why the FCA uses personal data to communicate FCA news and events, including its newsletters.

10. 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.

11. 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.