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Fines
Table of fines with links to further information. -
Enforcement data – Annual Report 2019/20
This FCA enforcement data for the year 2019/20 forms part of the FCA's annual report 2019/20. -
FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings
Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA). -
FCA fines financial advice firm and bans Arthur Cobill and William Hofstetter for British Steel Pension Scheme advice and oversight failings
The FCA has fined Inspirational Financial Management Ltd (IFM), which is in administration, £897,840. -
Supervision of UK regulated covered bonds
Find out about our role supervising regulated covered bond programmes and regulated covered bonds, key features of the regime and stress testing. -
The regulatory challenge
Speech by Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority (FCA), delivered at Deloitte’s Chief Compliance Officer Event. ... So, as I see it, regulators exist to set the standards to help protect -
FCA fines Xcap Securities PLC £120,900 for client asset failings and applies new penalty regime
The Financial Conduct Authority (FCA) has fined Xcap Securities PLC (Xcap), a retail investment and capital markets business, £120,900 for failing to adequately protect client money and client assets. This is the first client asset case the FCA has -
FCA fines Julius Baer International Limited £18m and publishes decision notices for three individuals
We have fined Julius Baer International Limited £18,022,500 for failing to conduct its business with integrity, failing to take reasonable care to organise and control its affairs and failing to be open and cooperative with the FCA. -
The sponsor regime
Sponsors are firms we approve to advise premium listed companies on their obligations under the listing regime. Read more about the regime and being a sponsor. -
Misleading financial promotions
If you see a financial promotion or advert that’s unclear or misleading, you can report it to the FCA. Find out what we can investigate and how to spot the warning signs. -
Accountability, from debate to reality
Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the City & Financial conference, London. This is the text of the speech as drafted, which may differ from the delivered version.