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Showing 22 to 31 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. Our powers to ban a promotion or advert

    Tasks for regulated firms Published: 05/05/2015 Last modified: 09/02/2023
    The FCA has the legal power to ban financial promotions or adverts that are unclear, unfair or misleading. Find out what actions the FCA can take and how it decides whether to act.

  3. Do the right thing

    Speeches Published: 01/06/2023 Last modified: 30/10/2023
    Speech by Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, delivered at the City & Financial FCA Investigations and Enforcement summit.

  4. Consumer Duty – information for firms

    Tasks for firms Published: 03/10/2022 Last modified: 01/11/2023
    To help firms implement the Duty, we explain more on the areas of the Duty that we have been receiving firm queries on which are relevant for the wider market.

  5. Enforcement

    About us How we regulate Published: 22/04/2016 Last modified: 22/10/2021
    Find out more about FCA enforcement powers, including how we protect consumers and act against firms and individuals that don’t meet our standards.

  6. Financial Services Register

    Registers and systems Published: 28/04/2016 Last modified: 04/11/2022
    The Financial Services Register is a public record of firms, individuals and other bodies that are PRA and/or FCA authorised. Search the register to find out if a firm is registered.

  7. FCA publishes Decision Notice against hedge fund for conflicts of interest failings

    Press Releases Published: 22/12/2021 Last modified: 22/12/2021
    We have published a Decision Notice and a financial penalty of £40.8m against BlueCrest Capital Management (UK) LLP

  8. Sub-threshold firm notifications

    Firms Published: 08/06/2016 Last modified: 30/01/2023
    Find out how to notify us when a sub-threshold firm exceeds the assets under management (AuM) threshold.

  9. Restrictions placed on Colbourne & Company

    Statements Published: 24/06/2022 Last modified: 07/07/2022
    On 23 June 2022 the FCA imposed a number of restrictions on Colbourne & Company stopping it from carrying out any regulated activities due to concerns about the way it conducts its business.

  10. Advising on pension transfers – our expectations

    News stories Published: 24/01/2017 Last modified: 12/04/2024
    Check the FCA requirements when you provide advice on pension transfers.

  11. Primary Market Bulletin 42

    Newsletters Published: 12/12/2022 Last modified: 12/12/2022
    In this edition we cover areas including climate related disclosures, the National Security and Investment Act, unlawful disclosure by Sir Christopher Gent and rules and guidance for cash shells and SPACS on reverse takeovers.
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