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Showing 62 to 71 of 163 search results for fines and penalties.

  1. FCA fines and imposes a restriction on Canara Bank for anti-money laundering systems failings

    Press Releases Published: 06/06/2018 Last modified: 06/06/2018
    The Financial Conduct Authority (FCA) has fined Canara Bank £896,100 and has imposed a restriction, preventing it from accepting deposits from new customers for 147 days.
  2. FCA and PRA jointly fine Mr James Staley £642,430 and announce special requirements regarding whistleblowing systems and controls at Barclays

    Press Releases Published: 11/05/2018 Last modified: 11/05/2018
    The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have together fined Mr James Staley, Chief Executive of Barclays Group (Barclays), a total of £642,430. Mr Staley failed to act with due skill, care and diligence
  3. The FCA fines Vanquis £1,976,000 and orders Vanquis to pay compensation to customers

    Press Releases Published: 27/02/2018 Last modified: 27/02/2018
    The Financial Conduct Authority (FCA) has today imposed a fine of £1,976,000 on credit card lender, Vanquis, for failing to disclose the full price of an add-on product, called Repayment Option Plan (ROP). The firm will also repay an estimated £168
  4. FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions

    Press Releases Published: 25/01/2018 Last modified: 25/01/2018
    The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in
  5. 2018 fines

    News stories Published: 08/01/2018 Last modified: 15/01/2019
    This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212.
  6. FCA fines and bans former RBS trader, Neil Danziger

    Press Releases Published: 08/01/2018 Last modified: 08/01/2018
    The Financial Conduct Authority (FCA) has imposed a financial penalty of £250,000 on former Royal Bank of Scotland (RBS) interest rate derivatives trader, Neil Danziger, and prohibited him from performing any function in relation to any regulated
  7. AIM Investment Company fined for failing to disclose inside information as soon as possible

    Press Releases Published: 14/12/2017 Last modified: 14/12/2017
    The Financial Conduct Authority (FCA) has today fined Tejoori Limited (Tejoori) £70,000 for failing to inform the market of inside information as required by Article 17(1) of the Market Abuse Regulation (MAR).  This is the first fine the FCA has
  8. FCA fines bond trader £60,000 for market abuse

    Press Releases Published: 22/11/2017 Last modified: 22/11/2017
    The Financial Conduct Authority (FCA) has imposed on Paul Walter, a former Bank of America Merrill Lynch International Limited (BAML) bond trader, a financial penalty of £60,090 for engaging in market abuse.
  9. Rio Tinto plc fined £27m for breaching Disclosure and Transparency Rules

    Press Releases Published: 17/10/2017 Last modified: 17/10/2017
    The Financial Conduct Authority (FCA) has fined Rio Tinto plc (Rio Tinto) £27,385,400 for breaching Disclosure and Transparency Rules (Disclosure Rules). 
  10. FCA fines and bans wife and bans husband financial advisor for lack of integrity

    Press Releases Published: 12/10/2017 Last modified: 12/10/2017
    The Financial Conduct Authority (FCA) has banned Mrs Colette Chiesa and Mr John Chiesa from working in financial services for integrity failings. Additionally, Mrs Chiesa has been fined £50,000 for attempting to mislead the FCA during an FCA