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

Search results

Showing 52 to 61 of 728 search results for FCA fines and prohibits.

  1. Fines

    Table of fines with links to further information.

  2. The FCA has today published Decision Notices in respect of three former members of Keydata’s senior management: Stewart Ford, Mark Owen and Peter Johnson

    Press Releases Published: 26/05/2015 Last modified: 02/06/2015
    The Tribunal will then determine the appropriate action for the FCA to take. ... set out that the FCA has decided to fine Mr Ford, Mr Owen and Mr Johnson £75 million, £4 million and £200,000 respectively and to prohibit all three from performing

  3. FCA publishes Final Notice for Keydata’s former finance director, Craig McNeil, fining him £350,000 and prohibiting him from performing any significant influence function

    Press Releases Published: 22/09/2015 Last modified: 14/11/2016
    of the FCA’s Statements of Principle and Code of Practice for Approved Persons. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

  4. 2016 fines

    News stories Published: 02/01/2016 Last modified: 02/02/2017
    This table contains information about fines published during the calendar year ending 2016. The total amount of fines is £22,216,446 (excluding Mr Shay Jacob Reches' additional penalty).

  5. 2017 fines

    News stories Published: 31/01/2017 Last modified: 07/03/2019
    This table contains information about fines published during the calendar year ending 2017. The total amount of fines is £229,515,303. 

  6. 2015 fines

    News stories Published: 02/01/2015 Last modified: 04/04/2017
    This table contains information about fines published during the calendar year ended December 2015. The total amount of fines is £905,219,078.

  7. 2014 fines

    News stories Published: 02/01/2014 Last modified: 31/08/2016
    This table contains information about fines published during the calendar year ended December 2014. The total amount of fines is £1,471,431,800.

  8. FCA prohibits IFA and mortgage adviser for fitness and propriety failings

    News stories Published: 24/09/2021 Last modified: 24/09/2021
    The FCA has prohibited financial advisor Anthony George from performing any regulated activity in the financial services industry.

  9. 2013 fines

    News stories Published: 02/01/2013 Last modified: 26/03/2024
    Fines published during the calendar year ending December 2013.

  10. FCA prohibits six individuals for their part in unauthorised collective investment scheme

    Press Releases Published: 01/11/2016 Last modified: 01/11/2016
    In a case brought by the Financial Conduct Authority (FCA) Scott Crawley, Daniel Forsyth, Adam Hawkins, Ross Peters, Aaron Petrou and Dale Walker have today been prohibited from performing any function in relation to any regulated activity for their

  11. Vogel and Fine

    Warnings Published: 27/10/2010 Last modified: 03/06/2015
    We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself.
Related topics