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Showing 1 to 11 of 521 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. Innovation newsletter sign-up

   Last modified: 26/04/2024
   Sign up to receive the latest news and insights from the FCA Innovation Hub.

7. 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.

8. 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.

9. 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.

10. Warning Notice Statement 22/2 [pdf]

    Warning notices Published: 16/03/2022
    On 17 January 2022, the Financial Conduct Authority (the FCA) gave Metro Bank plc and certain individuals a warning notice each, proposing to take action in respect of the conduct summarised in this statement.

11. Warning Notice Statement 21/5 [pdf]

    Warning notices Published: 16/12/2021
    On 15 December 2021, the FCA gave GIML a warning notice proposing to take action in respect of the conduct summarised in this statement.