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Showing 1 to 11 of 189 search results for subject-matter of a warning notice if it considers.

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. 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.

5. Market Watch 79

   Newsletters Published: 09/05/2024 Last modified: 09/05/2024
   Newsletter on market abuse surveillance and data governance, surveillance failures and the FCA's model testing peer review, May 2024.

6. Unfair contract terms library

   Tasks for firms Published: 03/08/2015 Last modified: 09/05/2024
   The FCA's work on unfair contract terms including past undertakings, agreements and other publications.

7. FCA proposing changes to streamline decision-making

   Press Releases Published: 29/07/2021 Last modified: 29/07/2021
   The FCA is proposing changes to its decision-making process which will enable it to make faster and more effective decisions.

8. FCA publishes Decision Notices concerning Cathay International Holdings Limited, its CEO and Finance Director

   Press Releases Published: 03/06/2019 Last modified: 03/06/2019
   The Financial Conduct Authority (FCA) and Action Fraud are warning the public to be wary of investment scams carried out via bogus online trading platforms. This warning comes as cryptoassests and forex investment scams reports more than tripled

9. 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.

10. FCA decides to fine and ban James Staley

    Press Releases Published: 12/10/2023 Last modified: 12/10/2023
    Mr Staley has referred his Decision Notice to the Upper Tribunal where he will present his case.

11. Russian invasion of Ukraine: operational and cyber resilience

    Tasks for regulated firms Published: 08/03/2022 Last modified: 31/01/2023
    What you should consider in relation to your operational and cyber resilience in light of Russia’s invasion of Ukraine.