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Showing 22 to 31 of 857 search results for FCA fines and bans.
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Fines
Table of fines with links to further information. -
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 bans and fines two for failing to monitor promotion of Unregulated Collective Investment Schemes
FCA bans and fines two for failing to monitor promotion of Unregulated Collective Investment Schemes. ... The Financial Conduct Authority (FCA) has imposed fines of £28,000 each on two individuals and banned them from performing accountable significant -
FCA fines Sigma Broking Limited £530,000 and bans and fines its former directors following market abuse reporting failures
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. -
FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers
FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
FCA publishes Decision Notice against Paul Reynolds deciding to ban him and fine him £290,344
The Financial Conduct Authority (FCA) has today published a Decision Notice against Paul Reynolds (formerly known as Paul Brian Reynolds). -
FCA bans and fines Floris Jakobus Huisamen over London Capital & Finance plc financial promotions
The FCA has fined a former director of London Capital & Finance plc (LCF) £31,800 and banned him from working in financial services. Floris Jakobus Huisamen was responsible for compliance at LCF but recklessly signed off hundreds of financial -
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 decides on £5.95m fine and industry ban for Nailesh Teraiya in latest cum-ex case
Mr Teraiya has referred his Decision Notice to the Upper Tribunal. Any findings in the Decision Notice are therefore provisional and reflect the FCA’s belief as to what occurred and how it considers his behaviour should be characterised. -
FCA publishes decision notice against Alistair Burns deciding to ban him and fine him
The Financial Conduct Authority has today published a Decision Notice in respect of Alistair Burns, Chief Executive at TailorMade Independent Limited (TMI). -
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