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Showing 1 to 11 of 21338 search results for 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. Innovation newsletter sign-up

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

3. 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.

4. 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.

5. Warning Notice Statement 24/3 [pdf]

   Warning notices Published: 11/04/2024
   The FCA gave Woodford Investment Management Limited and Neil Woodford warning notices on 19 February 2024 proposing to take action in respect of the conduct summarised in this statement.

6. Warning Notice Statement 24/2 [pdf]

   Warning notices Published: 21/02/2024
   The FCA gave two individuals warning notices on 13 July 2023 proposing to take action in respect of the conduct summarised in this statement.

7. 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.

8. Warning notice statement 17/5 – Firm [pdf]

   Warning notices Published: 15/08/2017
   The Financial Conduct Authority (the FCA) gave Interactive Brokers (UK) Ltd (IBUK) a warning notice on 25 July 2017 proposing to take action in respect of the conduct summarised in this statement.

9. Warning notice statement 14/1 – Individual [pdf]

   Warning notices Published: 03/02/2014 Last modified: 03/02/2014
   The Financial Conduct Authority (the FCA) gave an individual a warning notice on 28 November 2013 proposing to take action in respect of the conduct summarised in this statement.

10. Warning notice statement 14/11 – Firm [pdf]

    Warning notices Published: 19/06/2014 Last modified: 19/06/2014
    The Financial Conduct Authority (the FCA) gave a firm a Warning Notice on 30 April 2014 proposing to take action in respect of the conduct summarised in this statement.

11. Sponsor notices

    Markets Published: 04/05/2016 Last modified: 16/12/2022
    To help ensure greater transparency in the Sponsor regime, we have published a record of statutory notices we have issued to sponsor firms.