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Showing 12 to 21 of 1928 search results for FCA fines compliance.

  1. Fines

    Table of fines with links to further information.

  2. FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function

    Press Releases Published: 13/03/2015 Last modified: 13/03/2015
    FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function. ... The FCA has also banned Mr Bell from performing the compliance oversight function.

  3. 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.

  4. 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.

  5. 2023 fines

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

  6. 2013 fines

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

  7. 2024 fines

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

  8. Creating and sustaining cultures of compliance: insights from psychology and beyond

    Insight Published: 16/12/2016 Last modified: 17/02/2017
    Understanding the social and psychological influences on decision making is important to improving regulatory compliance, according to FCA economist Peter Lukacs. ... regulators could be missing a trick when it comes to improving effective compliance.

  9. 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

  10. CASS compliance – the bigger picture

    Speeches Published: 02/12/2014 Last modified: 19/12/2014
    Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version.

  11. 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.
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