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Showing 52 to 61 of 2177 search results for FCA fines Standard.
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Fines
Table of fines with links to further information. -
FCA fines three broker firms £4,775,200 for failures relating to the detection of market abuse
The FCA has fined BGC Brokers LP, GFI Brokers Limited and GFI Securities Limited for failing to ensure they had appropriate systems and controls in place to effectively detect market abuse. -
FCA fines Barclays £72 million for poor handling of financial crime risks
FCA fines Barclays £72 million for poor handling of financial crime risks. ... fine that has been imposed by the FCA and its predecessor the FSA for financial crime failings. -
News
Latest FCA news, warnings and speeches and how to contact the FCA press office. -
Approved Persons Regime
Approved persons carry out certain activities on a firm's behalf and must be regulated by us. Learn about our requirements, conduct rules and 'fit and proper' test. -
FSA fines Nestor Healthcare Group £175,000 for clearance to deal failings
The Financial Services Authority (FSA) has fined Nestor Healthcare Group Limited (Nestor) £175,000 for failing to take adequate steps to ensure that its board members and senior executives complied with the share dealing provisions of the FSA’s -
Protecting consumers
Find out how the FCA protects consumers from harm caused by bad conduct in the financial services industry. -
FCA and PRA jointly fine Mr James Staley £642,430 and announce special requirements regarding whistleblowing systems and controls at Barclays
The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have together fined Mr James Staley, Chief Executive of Barclays Group (Barclays), a total of £642,430. Mr Staley failed to act with due skill, care and diligence -
Standard Bank PLC fined £7.6m for failures in its anti-money laundering controls
The Financial Conduct Authority (FCA) has fined Standard Bank PLC (Standard Bank) £7,640,400 for failings relating to its anti-money laundering (AML) policies and procedures over corporate customers connected to politically exposed persons (PEPs). -
FCA bans and fines trader £662,700 for manipulating gilt price during QE
FCA bans and fines trader £662,700 for manipulating gilt price during QE. ... Without this discount, the FCA would have imposed a fine of £946,800. -
FCA and PRA jointly fine Raphaels Bank £1.89m for outsourcing failings
The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) have fined R. Raphael & Sons plc (“Raphaels”) for failing to manage its outsourcing arrangements properly between April 2014 and December 2016.