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Showing 12 to 21 of 728 search results for FCA fines and prohibits.

12. Fines

    Table of fines with links to further information.

13. 2023 fines

    News stories Published: 12/01/2023 Last modified: 04/04/2024
    Enforcement fines published in 2023.

14. 2024 fines

    News stories Published: 25/03/2024 Last modified: 26/03/2024
    Enforcement fines published in 2024.

15. FCA fines three money transfer firms for breaking competition law

    Press Releases Published: 30/11/2023 Last modified: 30/11/2023
    The FCA has today imposed fines on three money transfer firms after they admitted to fixing prices charged to consumers in Glasgow. 

16. FCA fines Bluefin £4m for misleading customers

    Press Releases Published: 06/12/2017 Last modified: 06/12/2017
    The Financial Conduct Authority (FCA) has today fined Bluefin Insurance Services Limited (Bluefin) £4,023,800 for having inadequate systems and controls and failing to provide information to its customers about Bluefin’s independence in a way

17. FCA fines TFS-ICAP £3.44 million for market misconduct

    Press Releases Published: 23/11/2020 Last modified: 23/11/2020
    The Financial Conduct Authority (FCA) has fined TFS-ICAP Ltd, an FX options broker, £3.44m for communicating misleading information to clients.

18. Tribunal upholds the Financial Conduct Authority’s decision to fine investment adviser

    Statements Published: 21/05/2015 Last modified: 21/05/2015
    The FCA will therefore prohibit Mr Rosier from performing significant influence functions. ... In reaching this decision, the Tribunal upheld all but one of the FCA’s findings.

19. FCA fines Threadneedle Asset Management Limited £6m

    Press Releases Published: 15/12/2015 Last modified: 15/12/2015
    FCA fines Threadneedle Asset Management Limited £6m. Press Releases First published:. ... FCA fines Threadneedle Asset Management Limited £6m.

20. Financial watchdog fines Equifax Ltd £11 million for role in one of the largest cyber security breaches in history

    Press Releases Published: 13/10/2023 Last modified: 17/10/2023
    FCA fines Equifax £11,164,400 for failing to manage and monitor the security of UK consumer data it had outsourced to its parent company based in the US.

21. Tribunal upholds FCA decision to fine and ban former hedge fund CEO Alberto Micalizzi

    Press Releases Published: 30/07/2014 Last modified: 30/07/2014
    Tribunal upholds FCA decision to fine and ban former hedge fund CEO Alberto Micalizzi. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

22. FCA fines Barclays £284,432,000 for forex failings

    Press Releases Published: 19/05/2015 Last modified: 17/11/2021
    The Financial Conduct Authority (FCA) has imposed a financial penalty of £284,432,000 on Barclays Bank Plc (Barclays) for failing to control business practices in its foreign exchange (FX) business in London.