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Showing 12 to 21 of 21 search results for FCA fines Merrill Lynch.

  1. Fines

    Table of fines with links to further information.

  2. 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.

  3. Transaction reporting fines

    Markets Transaction reporting Published: 28/05/2016 Last modified: 11/01/2023
    Find out how the FCA are able to effectively monitor for market abuse.

  4. Enforcement data – Annual Report 2019/20

    Data Published: 10/09/2020 Last modified: 10/09/2020
    This FCA enforcement data for the year 2019/20 forms part of the FCA's annual report 2019/20.

  5. FCA fines UBS AG £27.6 million for transaction reporting failures

    Press Releases Published: 19/03/2019 Last modified: 19/03/2019
    UBS AG (UBS) has been fined £27,599,400 by the Financial Conduct Authority (FCA) for failings relating to 135.8 million transaction reports between November 2007 and May 2017.

  6. FCA fines Goldman Sachs International £34.3 million for transaction reporting failures

    Press Releases Published: 28/03/2019 Last modified: 28/03/2019
    Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017.

  7. FSA Final Notice 2006: Merrill Lynch International [pdf]

    Final notices Published: 04/08/2006 Last modified: 14/06/2014
    FSA Final Notice 2006: Merrill Lynch International

  8. FCA appoints new head of investment banking

    Press Releases Published: 12/03/2014 Last modified: 09/05/2024
    The FCA appointed Julia Hoggett as head of investment banking in its supervision division.

  9. Catherine Bradley appointed as non-executive director

    Press Releases Published: 08/07/2014 Last modified: 08/07/2014
    Prior to joining Credit Suisse, Catherine worked at Dresdner Kleinwort Wasserstein from 2000-2003, BNP Paribas from 1994-2000, UBS from 1991-1994 and Merrill Lynch from 1981-1991. ... The FCA has an overarching strategic objective of ensuring the

  10. Michael Findlay appointed Chair of the FCA’s Markets Practitioner Panel

    Press Releases Published: 15/06/2021 Last modified: 15/06/2021
    The FCA has appointed Non-Executive Chair of the London Stock Exchange (LSE) plc Michael Findlay, as the Chair of its independent Markets Practitioner Panel.

  11. Complaints data sortable table: 2016 H2

    Data and research Published: 26/04/2016 Last modified: 26/04/2017
    Complaints data sortable table: 2016 H2
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