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Showing 42 to 51 of 2177 search results for FCA fines Standard.
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Fines
Table of fines with links to further information. -
FSA issues fines totalling £4.2m for transaction reporting failures
The Financial Services Authority (FSA) has fined three firms a total of £4.2m for failing to provide accurate and timely transaction reports to the FSA. -
FCA fines Santander UK £107.7 million for repeated anti-money laundering failures
The FCA has fined Santander UK Plc (Santander) £107,793,300 after it found serious and persistent gaps in its anti-money laundering (AML) controls, affecting its Business Banking customers. -
Market abuse
Behaviour such as insider dealing and market manipulation can amount to market abuse. Find out more about the safeguards firms must have in place. -
Tribunal upholds the Financial Conduct Authority’s decision to fine investment adviser
In reaching this decision, the Tribunal upheld all but one of the FCA’s findings. ... statement. When the FCA published the Decision Notices in this case, they were sent by email to a small number of media outlets with a short statement. -
Money laundering and supervising trusted professionals
OPBAS one year on report, highlights supervision and money laundering awareness failings and sets out ways to improve standards. -
Settlement in enforcement cases
An FCA settlement is a regulatory decision taken by us, the terms of which are accepted by the firm or individual concerned. -
2015 Disclosure Log
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. -
2014 Disclosure Log
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. -
FCA fines UBS AG £27.6 million for transaction reporting failures
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. -
FCA fines Metro Bank PLC £10 million and publishes Decision Notices for two of its former executive directors
Metro Bank PLC fined £10,002,300 for breaching the Listing Rules by publishing incorrect information to investors.