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Showing 1 to 11 of 1306 search results for 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. 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.

4. 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.

5. 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.

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 confirms how it will use new power to publicise warning notices

   Press Releases Published: 15/10/2013 Last modified: 15/10/2013
   The Financial Conduct Authority (FCA) today confirmed how it will use its new power to publicise warning notices by publishing information about proposed enforcement action. ... The FCA will consider the circumstances of each case in deciding whether it

8. PS13/9 Publishing information about enforcement warning notices

   Policy statements Published: 15/10/2013 Last modified: 07/02/2022
   We are setting out our policy for publishing information about enforcement warning notices, and responding to the feedback to our consultation.

9. 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.

10. 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.

11. Change in Control

    Tasks for firms Published: 01/08/2015 Last modified: 23/02/2024
    Find out when you need to notify us to acquire or change control in a firm that we regulate.