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Showing 42 to 51 of 1928 search results for FCA fines compliance.

  1. Fines

    Table of fines with links to further information.

  2. Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR

    Press Releases Published: 22/01/2015 Last modified: 22/01/2015
    The Financial Conduct Authority (FCA) has fined and banned two former senior executives of interdealer broker Martin Brokers (UK) Limited (‘Martins’) for compliance and cultural failings at the firm. ... The FCA found that Caplin presided over a firm

  3. FCA fines former managing director £45,000 for failure to notify personal trades

    Press Releases Published: 20/12/2019 Last modified: 20/12/2019
    The FCA has fined Kevin Gorman, a former Managing Director at Braemar Shipping Services plc (Braemar), £45,000 for failure to notify personal trades.

  4. Tribunal upholds the Financial Conduct Authority’s decision to fine investment adviser

    Statements Published: 21/05/2015 Last modified: 21/05/2015
    In reaching this decision, the Tribunal upheld all but one of the FCA’s findings. ... statement. When the FCA published the Decision Notices in this case, they were sent by email to a small number of media outlets with a short statement.

  5. FCA fines UBS AG £27.6 million for transaction reporting failures

    Press Releases Published: 19/03/2019 Last modified: 19/03/2019
    UBS AG (UBS) has been fined £27,599,400 by the Financial Conduct Authority (FCA) for failings relating to 135.8 million transaction reports between November 2007 and May 2017.

  6. FSA fines spread bet broker £490,000 for transaction reporting failures

    Press Releases Published: 20/01/2011 Last modified: 22/07/2013
    The Financial Services Authority (FSA) has fined City Index Limited (City Index) £490,000 for failing to provide accurate transaction reports to the FSA.

  7. FCA fines Merrill Lynch International £13.2 million for transaction reporting failures

    Press Releases Published: 22/04/2015 Last modified: 22/04/2015
    FCA fines Merrill Lynch International £13.2 million for transaction reporting failures. ... despite substantial FCA guidance to the industry and a poor history of transaction reporting compliance, consisting of a Private Warning issued in 2002 and a

  8. The regulatory challenge

    Speeches Published: 23/02/2015 Last modified: 24/02/2015
    Speech by Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority (FCA), delivered at Deloitte’s Chief Compliance Officer Event. ... And, in many ways, what I have described as the role of the regulator mirrors

  9. FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches

    Press Releases Published: 26/11/2013 Last modified: 29/11/2016
    FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches. ... Following the insolvency of Lehman Brothers in 2008, the FCA’s predecessor, the Financial Services Authority (FSA), wrote to compliance officers in March 2009 and chief

  10. FCA bans and fines two for failing to monitor promotion of Unregulated Collective Investment Schemes

    Press Releases Published: 16/08/2013 Last modified: 17/09/2013
    FCA bans and fines two for failing to monitor promotion of Unregulated Collective Investment Schemes. ... The Financial Conduct Authority (FCA) has imposed fines of £28,000 each on two individuals and banned them from performing accountable significant

  11. FCA decides to fine Tariq Carrimjee in relation to market abuse committed by Rameshkumar Goenka in October 2010

    Press Releases Published: 08/08/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has today published a Decision Notice for Tariq Carrimjee of Somerset Asset Management LLP in relation to assisting Goenka.
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