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Showing 22 to 31 of 1928 search results for FCA fines compliance.

  1. Fines

    Table of fines with links to further information.

  2. 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.

  3. FSA fines Commerzbank for failures in transaction reporting

    Press Releases Published: 27/04/2010 Last modified: 22/07/2013
    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.

  4. Learning the lessons of the past as an industry

    Speeches Published: 02/12/2014 Last modified: 04/02/2015
    words there are from those at the top and no matter how many thousands of compliance staff you employ. ... After all, despite their efforts to lead the change, we continue to fine firms for past bad practice.

  5. 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

  6. 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.

  7. 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.

  8. 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.

  9. Speech: Culture in UK banking – regulatory priorities

    Insight Published: 18/10/2016 Last modified: 17/02/2017
    Specifically, in some cases there was absolutely no link. Economically, this seemed surprising.FCA disciplinary action should be bad for reputations and revenues, and fines harm profits further.The management should, ... This neatly leads us back to the

  10. FCA fines and prohibits trader for market abuse

    Press Releases Published: 04/03/2021 Last modified: 04/03/2021
    The FCA has fined Mr Adrian Geoffrey Horn for market abuse and prohibited him from performing any functions in relation to regulated activity.

  11. Firms

    Firms Last modified: 27/07/2022
    Tasks for regulated firms and authorisation information for new firms
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