Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 62 to 71 of 2177 search results for FCA fines Standard.

  1. Fines

    Table of fines with links to further information.

  2. FCA and PRA fine Goldman Sachs International £96.6m for risk management failures in connection with 1MDB

    Press Releases Published: 22/10/2020 Last modified: 23/10/2020
    FCA and PRA fine Goldman Sachs International £96.6m for risk management failures connected to 1Malaysia Development Berhad (1MDB)

  3. Conduct risk in FX markets

    Speeches Published: 30/11/2016 Last modified: 30/11/2016
    Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe.

  4. Final Notice 2019: Paul Stephany [pdf]

    Final notices Published: 05/02/2019
    This Final Notice (Paul Stephany) refers to breaches by an individual of Statement of Principle 2 and 3 relating to failing to observe proper standards of market conduct and failing to act with due skill, care and diligence in the asset management

  5. FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches

    Press Releases Published: 26/11/2013 Last modified: 29/11/2016
    FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches. ... As some of the issues occurred before the FCA’s new penalty regime was introduced in March 2010, the fine was calculated using a combination of the new and old approach.

  6. Investor protection in the UK: New tools, new challenges

    Speeches Published: 19/09/2014 Last modified: 19/09/2014
    Speech by Maggie Craig, Acting Head of Savings and Investments, at the FCA MiFID II Conference 2014. This is the text of the speech as drafted, which may differ from the delivered version.

  7. FCA fines CT Capital Ltd for failures related to PPI complaint handling

    Press Releases Published: 01/06/2016 Last modified: 01/06/2016
    FCA fines CT Capital Ltd for failures related to PPI complaint handling. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

  8. FCA fines Sigma Broking Limited £530,000 and bans and fines its former directors following market abuse reporting failures

    Press Releases Published: 06/10/2022 Last modified: 06/10/2022
    Sigma Broking Limited (Sigma) has been fined £531,000 for failing to make reports crucial in fighting potential market abuse and three directors have been fined amounts totalling over £200,000, two of whom have also been prohibited.

  9. Upper Tribunal upholds the Financial Conduct Authority’s decision to fine and ban Charles Palmer former CEO of adviser network

    Press Releases Published: 09/08/2017 Last modified: 09/08/2017
    On 8 August 2017, the  Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Charles Palmer, former CEO of Financial Limited and Investments Limited (“the Firms”), from performing FCA significant influence functions. 

  10. Culture and governance

    Speeches Published: 11/11/2015 Last modified: 24/11/2015
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the MetricStream Governance, Risk and Compliance Summit in London. This is the text of the speech as drafted, which may differ from the delivered version.

  11. Best of British Conference

    Speeches Published: 14/11/2014 Last modified: 30/01/2015
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ
Related topics