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Showing 12 to 21 of 1306 search results for warning notice if it considers.

12. 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.

13. Validation Orders

    Firms Consumer credit firms Published: 09/10/2019 Last modified: 13/02/2023
    The FCA explains what Validation Orders are, the difference between agreements entered into before or after 1 April 2014 and how to apply for one.

14. 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.

15. 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.

16. 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.

17. Variation of permission

    Tasks for firms Published: 10/05/2015 Last modified: 03/05/2024
    If your firm wants to change or add to its regulated activities, find out how you can apply to us for a variation of permission (VoP).

18. Operational Resilience

    Tasks for firms Published: 17/05/2017 Last modified: 04/03/2024
    We set out the requirements of our policy and how to report an operational disruption.

19. Sponsor conflicts of interest

    Primary markets Published: 19/09/2018 Last modified: 16/12/2022
    Our rules require sponsors to identify and manage different conflicts of interest. Learn about our involvement in assessing conflicts.

20. 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.

21. Apply for a waiver or modification

    Tasks for firms Published: 06/05/2015 Last modified: 17/08/2023
    Find out how to apply to us for a waiver or modification of Handbook rules.

22. Getting firms to change or delete unfair contract terms

    Tasks for regulated firms Published: 06/05/2015 Last modified: 10/02/2023
    FCA powers for requesting firms amend or remove an unfair contract term.