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Showing 52 to 61 of 668 search results for FCA fines Aviva.

  1. Fines

    Table of fines with links to further information.

  2. Three charged over CFD trading pension fraud

    Press Releases Published: 15/05/2024 Last modified: 15/05/2024
    The FCA has charged 3 individuals with fraud for their alleged involvement in a high-risk trading scheme, which targeted people’s pension savings.

  3. FCA decides to fine and ban James Staley

    Press Releases Published: 12/10/2023 Last modified: 12/10/2023
    Mr Staley has referred his Decision Notice to the Upper Tribunal where he will present his case.

  4. FCA fines Crosfill & Archer Claims Limited £110,000

    Press Releases Published: 28/06/2021 Last modified: 28/06/2021
    The FCA has fined claims management company, Crosfill & Archer Claims Limited, £110,000.

  5. The FCA fines Tullett Prebon £15.4 million

    Press Releases Published: 11/10/2019 Last modified: 11/10/2019
    The Financial Conduct Authority (FCA) has fined Tullett Prebon (Europe) Limited (Tullett Prebon) £15.4 million for failing to conduct its business with due skill, care and diligence, failing to have adequate risk management systems and for failing

  6. Learning the lessons of the past as an industry

    Speeches Published: 02/12/2014 Last modified: 04/02/2015
    After all, despite their efforts to lead the change, we continue to fine firms for past bad practice. ... One the one hand you have those who say that the fines are too large and unfairly penalise shareholders.

  7. FCA fines former fund manager Paul Stephany

    Press Releases Published: 05/02/2019 Last modified: 05/02/2019
    The Financial Conduct Authority (FCA) has fined Paul Stephany, a former fund manager at Newton Investment Management Limited, £32,200 for his conduct in relation to an Initial Public Offering (IPO) and a placing.

  8. FCA fines LJ Financial Planning Ltd £107,200

    Press Releases Published: 10/12/2020 Last modified: 10/12/2020
    Independent financial advice firm is fined for providing its customers with unsuitable pension switching and transfer advice and failing to manage its conflicts of interest.

  9. 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.

  10. 'Finfluencers’ charged for promoting unauthorised trading scheme

    Press Releases Published: 16/05/2024 Last modified: 16/05/2024
    We have charged nine individuals in relation to an unauthorised foreign exchange trading scheme promoted on social media.

  11. Climate Financial Risk Forum (CFRF)

    Firms Published: 11/08/2019 Last modified: 12/06/2023
    The Climate Financial Risk Forum (CFRF) brings together senior financial sector representatives to share their experiences in managing climate-related risks and opportunities.
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