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

Search results

Showing 72 to 81 of 2177 search results for FCA fines Standard.

  1. Fines

    Table of fines with links to further information.

  2. The FCA fines and prohibits financial adviser for failing to act with integrity and for failing to be open and honest with the regulator

    Press Releases Published: 01/09/2016 Last modified: 06/03/2017
    The Financial Conduct Authority (FCA) has today banned Elizabeth Anne Parry from performing any function in relation to any regulated financial activity and fined her £109,400 for lying repeatedly to the regulator when asked about her qualification

  3. FCA publishes decision notice against Alistair Burns deciding to ban him and fine him

    Press Releases Published: 01/12/2016 Last modified: 10/11/2017
    The Financial Conduct Authority has today published a Decision Notice in respect of Alistair Burns, Chief Executive at TailorMade Independent Limited (TMI).

  4. Transaction reporting

    Markets Transaction reporting Published: 29/05/2016 Last modified: 12/01/2024
    We use transaction reports to detect and investigate suspected market abuse. Find out more about the submission of transaction reports and the data they should contain.

  5. The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer

    Press Releases Published: 03/10/2013 Last modified: 07/02/2022
    he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010.

  6. Enforcement data – Annual Report 2020/21

    Data Published: 15/07/2021 Last modified: 15/07/2021
    This FCA enforcement data for the year 2020/21 forms part of the FCA's annual report 2020/21.

  7. About our data

    Last modified: 14/03/2024
    The FCA publishes a wide range of data. Find out about the types of data available and how often it is published.

  8. FCA fines Towergate and former director Timothy Philip for client and insurer money failings

    Press Releases Published: 13/07/2016 Last modified: 13/07/2016
    FCA fines Towergate and former director Timothy Philip for client and insurer money failings. ... The FCA found that Mr Philip failed to meet the minimum regulatory standards in terms of competence and capability and that he is not a fit and proper

  9. Regulating Financial Promotions and Adverts

    Tasks for firms Published: 04/05/2015 Last modified: 22/11/2023
    Promoting services for deposits, investments, mortgages, insurance or consumer credit must comply with financial promotion rules. Learn how to keep your firm's advertising fair and clear.

  10. Our approach to international firms

    Corporate documents Published: 19/03/2024 Last modified: 19/03/2024
    Find out what standards we expect from international firms providing financial services in the UK, or preparing to apply for full UK authorisation.

  11. FCA fines Lloyds Bank, Bank of Scotland and The Mortgage Business £64,046,800 for failures in mortgage arrears handling

    Press Releases Published: 11/06/2020 Last modified: 11/06/2020
    The FCA has fined Lloyds Bank, Bank of Scotland and The Mortgage Business £64,046,800 for failures in mortgage arrears handling. The banks estimate they will have paid £300 million in customer redress. The redress programme is nearly complete.
Related topics