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Showing 72 to 81 of 728 search results for FCA fines and prohibits.
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Fines
Table of fines with links to further information. -
FCA fines bond trader £60,000 for market abuse
The Financial Conduct Authority (FCA) has imposed on Paul Walter, a former Bank of America Merrill Lynch International Limited (BAML) bond trader, a financial penalty of £60,090 for engaging in market abuse. -
Enforcement
Find out more about FCA enforcement powers, including how we protect consumers and act against firms and individuals that don’t meet our standards. -
Learning the lessons of the past as an industry
After all, despite their efforts to lead the change, we continue to fine firms for past bad practice. ... One the one hand you have those who say that the fines are too large and unfairly penalise shareholders. -
Guy Flintham sentenced to 6 years for fraud over unauthorised investment scheme
Following a hearing at Southwark Crown Court, Guy Flintham, 46, was today sentenced to 6 years for fraud. -
FSA fines Commerzbank for failures in transaction reporting
The Financial Services Authority (FSA) has fined the London branch of Commerzbank AG (Commerzbank) £595,000 for failing to provide accurate transaction reports to the FSA. -
FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions
The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in -
FCA fines RBS and NatWest for failures in mortgage advice process
FCA fines RBS and NatWest for failures in mortgage advice process. ... Were it not for this discount the fine would have been £20,678,000. -
FCA fines Tesco Bank £16.4m for failures in 2016 cyber attack
The Financial Conduct Authority (FCA) has fined Tesco Personal Finance plc (Tesco Bank) £16,400,000 for failing to exercise due skill, care and diligence in protecting its personal current account holders against a cyber attack. The cyber attack -
FCA fines Merrill Lynch £34.5 million for failing to report transactions
Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and 6 February 2016. -
Information on collection of fines 2019 - 2021 - May 2022
The FCA provides data on fines issued between 2019 - 2021.