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Showing 1 to 11 of 671 search results for warning notice if it considers it to be appropriate.

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. 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.

5. 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

6. 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

7. Investigation opening criteria

   About us How we regulate Published: 21/04/2016 Last modified: 27/02/2024
   Factors we consider when deciding to open an investigation, including how we assess serious misconduct.

8. 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.

9. 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.

10. 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.

11. 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.