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Showing 72 to 81 of 1928 search results for FCA fines compliance.

  1. Fines

    Table of fines with links to further information.

  2. The changing face of financial crime

    Speeches Published: 30/06/2013 Last modified: 05/04/2023
    Speech by Martin Wheatley, Chief Executive, the FCA, at the FCA Financial Crime Conference, London.

  3. 2018 Disclosure Log

    Last modified: 14/09/2020
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2018. 

  4. FCA fines ED&F Man Capital Markets Ltd £17.2m for serious failings which enabled millions in illegitimate tax reclaims

    Press Releases Published: 05/06/2023 Last modified: 05/06/2023
    The FCA has fined ED&F Man Capital Markets Ltd (‘MCM’) £17,219,300 for serious failings in its oversight of cum-ex trading. These failings allowed MCM to collect fees for trading strategies designed to enable its clients to illegitimately

  5. Conduct risk in FX markets

    Speeches Published: 30/11/2016 Last modified: 30/11/2016
    Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe.

  6. FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings

    Press Releases Published: 13/08/2015 Last modified: 24/03/2020
    Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA).

  7. Promoting competition

    What we do Published: 22/03/2016 Last modified: 02/04/2024
    What the FCA does to promote effective competition in the interests of consumers.

  8. A sustainable conduct environment

    Speeches Published: 20/03/2014 Last modified: 27/03/2014
    Speech by Clive Adamson, Director of Supervision, the FCA, at the Association of Professional Compliance Consultants’ annual conference. This is the text of the speech as drafted, which may differ from the delivered version.

  9. FCA fines financial advice firm and bans Arthur Cobill and William Hofstetter for British Steel Pension Scheme advice and oversight failings

    Press Releases Published: 11/03/2024 Last modified: 11/03/2024
    The FCA has fined Inspirational Financial Management Ltd (IFM), which is in administration, £897,840.

  10. Change or cancel an approval for a controlled function

    Tasks for regulated firms Published: 12/05/2015 Last modified: 08/12/2022
    Find out how to change, withdraw or cancel approval for a controlled function, including a senior management function (SMF).

  11. FCA fines Towergate and former director Timothy Philip for client and insurer money failings

    Press Releases Published: 13/07/2016 Last modified: 13/07/2016
    FCA fines Towergate and former director Timothy Philip for client and insurer money failings. ... The role of a Client Money Officer is key to ensuring appropriate compliance with the FCA's CASS Rules.
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