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Showing 1 to 11 of 167 search results for fines and penalties.
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Fines
Table of fines with links to further information. -
FCA bans and fines James Lewis £120,300 for putting investors at risk
James Lewis, the former CEO of Shard Capital Partners, has been fined £120,300 and banned by the FCA. -
FCA sets out findings against Link Fund Solutions
Link Fund Solutions failed to act with due skill, care and diligence in its management of the Woodford Equity Income Fund, according to findings published by the FCA. -
2024 fines
Enforcement fines published in 2024. -
FCA fines financial advice firm and bans Arthur Cobill and William Hofstetter for British Steel Pension Scheme advice and oversight failings
The FCA has fined Inspirational Financial Management Ltd (IFM), which is in administration, £897,840. -
Evolving our enforcement approach to protect and grow our markets
Speech by Therese Chambers, FCA joint executive director of enforcement and market oversight, delivered at The Market Abuse and Market Manipulation Summit. -
FCA bans and fines Floris Jakobus Huisamen over London Capital & Finance plc financial promotions
The FCA has fined a former director of London Capital & Finance plc (LCF) £31,800 and banned him from working in financial services. Floris Jakobus Huisamen was responsible for compliance at LCF but recklessly signed off hundreds of financial -
Duty calls: Future-proofing finance for everyone
Now into the second year of its 3-year strategy, FCA outlines some key achievements and milestones from the last 12 months. -
FCA fines three money transfer firms for breaking competition law
The FCA has today imposed fines on three money transfer firms after they admitted to fixing prices charged to consumers in Glasgow. -
Financial watchdog fines Equifax Ltd £11 million for role in one of the largest cyber security breaches in history
FCA fines Equifax £11,164,400 for failing to manage and monitor the security of UK consumer data it had outsourced to its parent company based in the US. -
FCA fines ADM Investor Services International Limited £6,470,600 for serious financial crime control failings
The broker has been fined for inadequate anti-money laundering (AML) systems and controls.