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Showing 13 to 22 of 901 search results for FCA fines former.
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Forms
List of all forms on fca.org.uk For Handbook forms, please use the Handbook forms page. -
Fines
Table of fines with links to further information. -
FCA fines and bans former Investment Analyst at Aviva Investors
FCA fines and bans former Investment Analyst at Aviva Investors. Press Releases First published:. ... FCA fines and bans former Investment Analyst at Aviva Investors. -
FCA fines and bans former Deutsche Bank trader, Guillaume Adolph
The Financial Conduct Authority (FCA) has fined Guillaume Adolph £180,000 and banned him from performing any function in relation to any regulated financial activity. -
Tribunal upholds FCA decision to fine and ban former hedge fund CEO Alberto Micalizzi
Tribunal upholds FCA decision to fine and ban former hedge fund CEO Alberto Micalizzi. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
Upper Tribunal upholds the FCA decision to fine and ban former Keydata executives
The Upper Tribunal has today upheld the Financial Conduct Authority’s (FCA) decision to fine and ban Stewart Ford and Mark Owen, the former CEO and sales director respectively of Keydata Investment Services Ltd (Keydata). -
FCA fines GAM International Management and former Investment Director Timothy Haywood
The Financial Conduct Authority (FCA) has fined asset manager GAM International Management Limited (GIML) and Timothy Haywood, a former Investment Director and Business Unit Head at GIML. -
FCA fines Sigma Broking Limited £530,000 and bans and fines its former directors following market abuse reporting failures
Sigma Broking Limited (Sigma) has been fined £531,000 for failing to make reports crucial in fighting potential market abuse and three directors have been fined amounts totalling over £200,000, two of whom have also been prohibited. -
FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function
FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function. ... The Financial Conduct Authority (FCA) has fined former compliance director Mr Stephen Bell £33,800 for systemic -
FCA fines Metro Bank PLC £10 million and publishes Decision Notices for two of its former executive directors
Metro Bank PLC fined £10,002,300 for breaching the Listing Rules by publishing incorrect information to investors. -
FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers
FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer
he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010.