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Showing 72 to 81 of 668 search results for FCA fines Aviva.

  1. Fines

    Table of fines with links to further information.

  2. Market abuse

    Markets Market abuse Published: 04/05/2016 Last modified: 22/05/2023
    Behaviour such as insider dealing and market manipulation can amount to market abuse. Find out more about the safeguards firms must have in place.

  3. Prosecutions and cancellations

    Tasks for firms Published: 27/07/2015 Last modified: 26/01/2024
    Read about which societies have had their registration cancelled and/or been prosecuted for failing to submit an annual return and accounts.

  4. Practical implications of US law on EU practice

    Speeches Published: 19/01/2017 Last modified: 20/01/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe.

  5. 2016 Disclosure Log

    Last modified: 30/01/2020
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2016. 

  6. FCA fines Merrill Lynch £34.5 million for failing to report transactions

    Press Releases Published: 23/10/2017 Last modified: 23/10/2017
    Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and 6 February 2016.

  7. 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

  8. Settlement and mediation in enforcement cases

    How we operate Published: 22/04/2016 Last modified: 22/10/2021
    Agreeing to settle with the FCA is not the same as an out-of-court settlement in the commercial sense. An FCA settlement is a regulatory decision taken by us, the terms of which are accepted by the firm or individual concerned.

  9. Information on the Senior Managers Certification Regime fines - April 2022

    FOI Release Date of Release: 22/04/2022
    The FCA provides information on how many fines were issued to Senior managers.

  10. Information on collection of fines 2019 - 2021 - May 2022

    FOI Release Date of Release: 27/05/2022
    The FCA provides data on fines issued between 2019 - 2021.

  11. FCA fines ADM Investor Services International Limited £6,470,600 for serious financial crime control failings

    Press Releases Published: 02/10/2023 Last modified: 02/10/2023
    The broker has been fined for inadequate anti-money laundering (AML) systems and controls.
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