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1. Final Notice 2015: Aviva Investors Global Services Limited [pdf]

   Final notices Published: 24/02/2015 Last modified: 24/02/2015
   This final notice refers to breaches of PRIN 3, PRIN 8 and COBS related to unfair treatment of customers, conflicts of interest and culture / governance in the Asset management sector. We imposed a fine.

2. Aviva Plc / Aviva Bonds Plc / Aviva Investors / Aviva Investors & Pensions Ltd / Aviva Life & Pensions UK Limited (clone of FCA authorised firm)

   Warnings Published: 15/07/2020 Last modified: 12/07/2021
   Aviva Plc / Aviva Bonds Plc / Aviva Investors / Aviva Investors & Pensions Ltd / Aviva Life & Pensions UK Limited (clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an

3. Aviva Investors Global Services / Avibonds (Clone of FCA authorised firm)

   Warnings Published: 22/01/2020 Last modified: 21/11/2020
   Aviva Investors Global Services / Avibonds (Clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this

4. FCA fines and bans former Investment Analyst at Aviva Investors

   Press Releases Published: 17/11/2015 Last modified: 03/09/2016
   FCA fines and bans former Investment Analyst at Aviva Investors. Press Releases First published:. ... At Aviva Investors Mr Miah had authority to trade on behalf of hedge and long-only funds.

5. FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly

   Press Releases Published: 24/02/2015 Last modified: 24/02/2015
   While Aviva Investors’ failings were serious, the FCA has recognised that its actions since reporting its failings were exceptional. ... Aviva Investors primarily relied upon the first line of defence, the business, to identify, assess and manage risk.

6. Getting to the gamers

   About us What we do Published: 17/02/2023 Last modified: 17/02/2023
   The FCA InvestSmart campaign uses specific techniques to alert different groups of people to risks from investment offers.

7. Expectations of firms offering fractional shares to retail investors

   Firms Published: 01/12/2023 Last modified: 01/12/2023
   FCA's expectations under the Consumer Duty for firms offering fractional shares.

8. Investor Shield/ Investor Shields

   Warnings Published: 26/11/2019 Last modified: 26/11/2019
   Investor Shield/ Investor Shields is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals.

9. 2015 fines

   News stories Published: 02/01/2015 Last modified: 04/04/2017
   This table contains information about fines published during the calendar year ended December 2015. The total amount of fines is £905,219,078.

10. Primary Markets enforcement outcomes

    Published: 18/02/2021 Last modified: 07/11/2023
    A list of recent Primary Markets enforcement outcomes.