2015 fines

This table contains information about fines published during the calendar year ended December 2015. The total amount of fines is £905,219,078.

Firm or individual fined Date Amount Reasoning
Vroni Mavis O'Brien 17/12/2015 £20,000 For breaching Statement of Principle 2 and 7.
Threadneedle Asset Management Limited 15/12/2015 £6,038,504 For breaching Principles 3 and 11.
Paivi Katriina Grigg 11/12/2015 £14,807 For breaching Statement of Principle 6.
Barclays Bank plc 26/11/2015 £72,069,400 For breaching Principle 2.
Mothahir Miah 17/11/2015 £139,000 For breaching Principle 1 of the Statement of Principle and Code of Practice for Approved Persons.
Andrew Peter Wilkins 27/10/2015 £50,000 For breaching Statement of Principle 6 of the Authority's Statements of Principle for Approved Persons.
Quick Purchase 23/10/2015 £26,600 For breaching Principle 6.
John Joseph Financial Services Limited 30/09/2015 £20,000 For breaching Principle 9 and certain applicable rules set out in COB, COBS and SYSC.
Craig McNeil 22/09/2015 £350,000 For breaching Statements of Principle 4 and 6 of the FCA's Statements of Principle and Code of Practice for Approved Persons.
Ralph Paul Whittington 10/09/2015 £42,111 For breaching Statement of Principle 1.
Robert Ian Shaw 13/08/2015 £165,900 For breaching Statement of Principle 7.
Da Vinci Invest Ltd 12/08/2015 £1,460,000 For committing market abuse under s118(5) FSMA.
Mineworld Ltd 12/08/2015 £5,000,000 For committing market abuse under s118(5) FSMA.
Gyorgy Szabolcs Brad 12/08/2015 £290,000 For committing market abuse under s118(5) FSMA.
Szabolcs Banya 12/08/2015 £410,000 For committing market abuse under s118(5) FSMA.
Tamas Pornye 12/08/2015 £410,000 For committing market abuse under s118(5) FSMA.
Asia Resource Minerals plc (formerly Bumi plc) 17/06/2015 £4,651,200 For breaching Listing Principle (LP) 2, Listing Rules (LR) 8 and 11 and Disclosure and Transparency Rule (DTR) 4.
Lloyds Bank plc, Bank of Scotland plc and Black Horse Limited (together Lloyds Banking Group "LBG") 05/06/2015 £117,430,600 For breaching Principle 6 of the Authority's Principles for Businesses.
Barclays Bank Plc 20/05/2015 £284,432,000 For breaching Principle 3 of the Authority's Principles for Businesses.
Paul Reynolds (formally known as Paul Brian Reynolds) 20/05/2015 £290,344 For breaching Statement of Principle 1
Deutsche Bank AG 23/04/2015 £226,800,000 For breaching Principles 5, 3 and 11 of the Authority's Principles for Businesses.
Moorhouse Group Limited 23/04/2015 £159,300 For breaching Principle 3 and 7.
Merrill Lynch International 22/04/2015 £13,285,900 For breaching SUP 17.1.4R and SUP 17.4.1 EU by failing to report or to accurately report transactions.
The Bank of New York Mellon London Branch & The Bank of New York Mellon International Limited 15/04/2015 £126,000,000 For breaching Principle 10 and for breaching a number of rules in Chapter 6 of the Client Assets Sourcebook
Clydesdale Bank Plc 14/04/2015 £20,678,300 For breaching Principle 6 of the Authority's Principles.
Robin Farrell 31/03/2015 £650,000 For breaching Statements of Principle for Approved Persons 1 and 7.
Robert Addison 31/03/2015 £200,000 For breaching Statements of Principle for Approved Persons 1 and 7.
Kenneth George Carver 30/03/2015 £35,212 For behaviour amounting to market abuse in breach of section 118(2) of the act.
Lloyd Arnold Pope 20/03/2015 £93,800 For breaching Statement of Principle 7.
Alberto Micalizzi 18/03/2015 £2,700,000 For breaching Statement of Principle 1 of the Authority's Statement of Principles for Approved Persons.
Sam Thomas Kenny 13/03/2015 £450,000 For breaching Statement of Principle 1 and Principle 7 of the Authority's Statements of Principle and Code of Practice for Approved Persons.
Stephen Edward Bell 13/03/2015 £33,800 For systemic weaknesses in the design and execution of network Financial Group€™s compliance systems and controls.
Bank of Beirut (UK) Ltd 05/03/2015 £2,100,000 For breaching Principle 11.
Anthony Rendell Boyd Wills 05/03/2015 £19,600 For breaching Principle 4 of the Authority's Statement of Principles for Approved Persons.
Michael John Allin 05/03/2015 £9,900 For breaching Principle 4 of the Authority's Statement of Principles for Approved Persons.
Aviva Investors Global Services Limited 24/02/2015 £17,607,000 For breaching Principle 3 and 8 of the Authority's Principles for Businesses and related Rules.
David Caplin 22/01/2015 £210,000 For breaching Statement of Principle 7.
Jeremy Kraft 22/01/2015 £105,000 For breaching Statement of Principle 6 and 7.
Reckitt Benckiser Group Plc 20/01/2015 £539,800 For breaching listing rule 9.2.8 (LR9.2.8R), Principle 1 and 2, Disclosure Rule and Transparency Rule 3.1.4R(2) and DTR 3.1.5R.  
Execution Noble & Company Limited (ENCL) 06/01/2015 £231,000 For breaches of the listing rules in relation to sponsors.

 

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