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Showing 82 to 91 of 857 search results for FCA fines and bans.

  1. Fines

    Table of fines with links to further information.

  2. Conduct in a new era: leaders rejecting complacency

    Speeches Published: 13/06/2013 Last modified: 18/07/2013
    Speech by John Griffith-Jones, Chairman, the FCA, to theCityUK conference in London. This is the text of the speech as drafted, which may differ from the delivered version.

  3. Consumer investments data review 2020

    Data Published: 18/01/2021 Last modified: 13/06/2023
    A summary of the FCA's work to tackle consumer harm in the investment market, between 1 January and 31 October 2020.

  4. Former chief executive of stockbroker firm fined £450,000 and banned

    Press Releases Published: 13/03/2015 Last modified: 13/03/2015
    This significant fine and ban sends a strong message to those who run financial services firms, that they will be made to answer for misconduct and that we will take particularly ... The FCA would have fined him £175,000 had it not been for the serious

  5. Surveillance: The FCA's expectations and toolkits

    Speeches Published: 07/10/2014 Last modified: 07/10/2014
    Speech by Patrick Spens, Head of Market Monitoring, at the British Bankers' Association Market Abuse Conference. This is the text of the speech as drafted, which may differ from the delivered version.

  6. Consumer investments data review April 2020 - March 2021

    Data Published: 15/09/2021 Last modified: 13/06/2023
    A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2020 and 31 March 2021.

  7. Speech: Culture in UK banking – regulatory priorities

    Insight Published: 18/10/2016 Last modified: 17/02/2017
    Specifically, in some cases there was absolutely no link. Economically, this seemed surprising.FCA disciplinary action should be bad for reputations and revenues, and fines harm profits further.The management should, ... Fourthly, the introduction of a

  8. Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR

    Press Releases Published: 22/01/2015 Last modified: 22/01/2015
    Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:. ... David Caplin has been fined £210,000 in addition to a ban from holding a significant influence function at an FCA authorised firm because of a lack of

  9. Four former directors of online consumer credit broker banned for misleading customers

    Press Releases Published: 25/07/2018 Last modified: 25/07/2018
    The Financial Conduct Authority (FCA) has banned David James Carter Mullins, Edward John Booth, Christopher Paul Brotherton and Mark Robert Kennedy, the former directors and shareholders of Secure My Money Limited (now dissolved).

  10. FCA and PRA publish Decision Notices given to former CEO who paid excessive remuneration to his wife to reduce his tax liability

    Press Releases Published: 18/11/2019 Last modified: 06/05/2022
    The Financial Conduct Authority (‘FCA’) and the Prudential Regulation Authority (‘PRA’) have decided to ban and fine Stuart Malcolm Forsyth, the former CEO of a small mutual insurer, £78,318 and £76,180 respectively. The regulators’

  11. FCA publishes Decision Notices for Banque Havilland SA and three of its former employees

    Press Releases Published: 05/05/2023 Last modified: 11/05/2023
    The FCA has decided to fine Banque Havilland £10m; its former London branch CEO, Edmund Rowland, £352,000; David Weller, a former London branch senior manager, £54,000; and Vladimir Bolelyy, a former London branch employee, £14,200.
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