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. |
| Merrill Lynch International | 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. |
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