This table contains information about fines published during the calendar year ending 2017. The total amount of fines is £229,515,303.
|Firm or individual fined||Date||Amount||Reasoning|
|Tejoori Limited||14/12/2017||£70,000||For breaches of the Market Abuse Regulation related to market abuse in the issuer sector. We imposed a fine.|
|Bluefin Insurance Services||6/12/2017||£4,023,800||For breaches of PRIN 3 and PRIN 7 related to conflicts of interest, culture/governance and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.|
|Paul Axel Walter||22/11/2017||£60,090||For breaches of section 118 FSMA related to market abuse in the trading firm sector. We imposed a financial penalty.|
|23/10/2017||£34,524,000||For breaches of Article 9 of EMIR and PRIN 3 by failing to report 68.5 million derivative transactions.|
|Rio Tinto Plc||17/10/2017||£27,385,400||For breaches of the DTRs for failing to comply with the International Accounting Standards and report an impairment to the Market. We imposed a penalty of £27,385,400.|
|Mrs Colette Chiesa||12/10/2017||£50,000||For breaches of APER 4 and FIT related to a lack of fitness/propriety and failing to be open and co-operative in the investment adviser sector. We imposed a prohibition, withdrawal and fine.|
|Clive John Rosier||05/10/2017||£10,000||
For breaches of APER 2 and APER 7 for complaints-handling, failure to demonstrate that suitable advice was given and lack of fitness/propriety in the investment adviser sector. We imposed a fine, withdrawal and prohibition.
|Charles Palmer||19/09/2017||£86,691||For breaches of APER 6 and FIT related to appointed representatives/ networks, culture/governance, lack of fitness/propriety and unfair treatment of customers in the Investment Adviser sector.|
|David Samuel Watters||14/07/2017||£75,000||For breaches of APER 6 related to a lack of fitness/propriety in the pensions sector.|
|Lukhvir Thind||07/04/2017||£105,000||For breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector.|
|Niall O’Kelly||07/04/2017||£11,900||For breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector.|
|Christopher Niehaus||30/3/2017||£37,198||For breaches of APER 2 related to wholesale conduct in investment banking sector.|
|Deutsche Bank AG||31/1/2017||£163,076,224||For breaches of PRIN 3 and SYSC related to culture/governance and financial crime in the investment bank sector.|