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Showing 82 to 91 of 737 search results for FCA fines Barclays.

  1. Fines

    Table of fines with links to further information.

  2. 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.

  3. 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.

  4. Firms

    Firms Last modified: 27/07/2022
    Tasks for regulated firms and authorisation information for new firms

  5. 2014 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 2014. 

  6. 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.

  7. Changes to overdraft charges

    Data Published: 22/01/2020 Last modified: 12/10/2020
    From April 2020, new overdraft rules begin meaning many banking customers will be better off. See whether you are likely to be charged more or less by your bank or building society.

  8. 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.

  9. 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

  10. 2015 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 2015. 

  11. 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.
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