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Showing 62 to 71 of 728 search results for FCA fines and prohibits.

62. Fines

    Table of fines with links to further information.

63. Transaction reporting fines

    Markets Transaction reporting Published: 28/05/2016 Last modified: 11/01/2023
    Find out how the FCA are able to effectively monitor for market abuse.

64. Three charged over CFD trading pension fraud

    Press Releases Published: 15/05/2024 Last modified: 15/05/2024
    The FCA has charged 3 individuals with fraud for their alleged involvement in a high-risk trading scheme, which targeted people’s pension savings.

65. Benchmark fines [pdf]

    Documents Published: 20/05/2015 Last modified: 20/05/2015

66. FCA fines Henderson £1.9m for fund failings

    Press Releases Published: 20/11/2019 Last modified: 24/01/2020
    The Financial Conduct Authority (FCA) has fined Henderson Investment Funds Limited (HIFL) £1,867,900 for failing to treat fairly more than 4,500 retail investors in two of its funds, Henderson Japan Enhanced Equity Fund and the Henderson North

67. FCA fines Crosfill & Archer Claims Limited £110,000

    Press Releases Published: 28/06/2021 Last modified: 28/06/2021
    The FCA has fined claims management company, Crosfill & Archer Claims Limited, £110,000.

68. FCA decides to fine and ban James Staley

    Press Releases Published: 12/10/2023 Last modified: 12/10/2023
    Mr Staley has referred his Decision Notice to the Upper Tribunal where he will present his case.

69. The FCA fines Tullett Prebon £15.4 million

    Press Releases Published: 11/10/2019 Last modified: 11/10/2019
    The Financial Conduct Authority (FCA) has fined Tullett Prebon (Europe) Limited (Tullett Prebon) £15.4 million for failing to conduct its business with due skill, care and diligence, failing to have adequate risk management systems and for failing

70. 'Finfluencers’ charged for promoting unauthorised trading scheme

    Press Releases Published: 16/05/2024 Last modified: 16/05/2024
    We have charged nine individuals in relation to an unauthorised foreign exchange trading scheme promoted on social media.

71. FCA fines former fund manager Paul Stephany

    Press Releases Published: 05/02/2019 Last modified: 05/02/2019
    The Financial Conduct Authority (FCA) has fined Paul Stephany, a former fund manager at Newton Investment Management Limited, £32,200 for his conduct in relation to an Initial Public Offering (IPO) and a placing.

72. FCA fines LJ Financial Planning Ltd £107,200

    Press Releases Published: 10/12/2020 Last modified: 10/12/2020
    Independent financial advice firm is fined for providing its customers with unsuitable pension switching and transfer advice and failing to manage its conflicts of interest.