Publications

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1. Warning Notice Statement 24/4 [pdf]

   Warning notices

   Published: 01/11/2024

   The FCA gave Crispin Odey a warning notice on 18 September 2024 proposing to take action in respect of the conduct summarised in this statement

2. 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.

3. 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.

4. Warning Notice Statement 24/1 [pdf]

   Warning notices

   Published: 08/01/2024

   The FCA gave an individual a warning notice on 16 November 2023 proposing to take action in respect of the conduct summarised in this statement.

5. Warning Notice Statement 23/5 [pdf]

   Warning notices

   Published: 18/05/2023

   The FCA gave 3 individuals warning notices on 17 February 2023 proposing to take action in respect of the conduct summarised in this statement.

6. Warning Notice Statement 23/4 [pdf]

   Warning notices

   Published: 03/05/2023

   The notice concerns the conduct of an individual who worked as a financial adviser whilst an approved person at a small financial advice firm.

7. Warning Notice Statement 23/3 [pdf]

   Warning notices

   Published: 20/04/2023

   The FCA gave an individual a warning notice on 6 March 2023 proposing to take action in respect of the conduct summarised in this statement.

8. Warning Notice Statement 23/2 [pdf]

   Warning notices

   Published: 20/04/2023

   The FCA gave an individual a warning notice on 6 March 2023 proposing to take action in respect of the conduct summarised in this statement.

9. Warning Notice Statement 23/1 [pdf]

   Warning notices

   Published: 06/03/2023

   The FCA gave the following 2 individuals warning notices on 28 September 2022 proposing to take action (being the imposition of financial penalties) in respect of the conduct summarised in this statement.

10. Warning Notice Statement 22/3 [pdf]

    Warning notices

    Published: 20/10/2022

    The FCA gave a warning notice on 10 August 2022 to an individual (Individual A) working as a director and independent financial adviser at an advisory firm (Firm A) whilst an approved person proposing to take action in respect of the conduct