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Showing 23 to 32 of 901 search results for FCA fines former.

23. Forms

    List of all forms on fca.org.uk  For Handbook forms, please use the Handbook forms page.

24. Fines

    Table of fines with links to further information.

25. 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 FCA has also fined former Towergate Client Money Officer and CF1 (director) Timothy Philip £60,000 and banned him from having direct responsibility for

26. Financial crime resources

    Published: 08/02/2024 Last modified: 13/05/2024
    Find publications about our Financial Crime Public Commitment, including news, speeches, podcasts, events and external publications.

27. Upper Tribunal upholds the Financial Conduct Authority’s decision to fine and ban Charles Palmer former CEO of adviser network

    Press Releases Published: 09/08/2017 Last modified: 09/08/2017
    On 8 August 2017, the  Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Charles Palmer, former CEO of Financial Limited and Investments Limited (“the Firms”), from performing FCA significant influence functions. 

28. 2013 fines

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

29. 2023 fines

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

30. 2024 fines

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

31. FCA publishes a Decision Notice against Angela Burns deciding to ban and fine the former non-executive director £154,800 for failing to disclose her conflicts of interest

    Press Releases Published: 24/05/2013 Last modified: 27/06/2019
    FCA publishes a Decision Notice against Angela Burns deciding to ban and fine the former non-executive director £154,800 for failing to disclose her conflicts of interest.

32. FCA v former iSOFT directors

    Press Releases Published: 22/07/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has today announced that it has decided not to pursue a second retrial in the case against Stephen Graham, Timothy Whiston and John Whelan (formerly of ISoft plc) at Southwark Crown Court. The FCA will also not

33. FCA decides to fine and ban James Staley

    Press Releases Published: 12/10/2023 Last modified: 12/10/2023
    Mr Staley has referred his Decision Notice to the Upper Tribunal where he will present his case.

34. FCA bans former RBS LIBOR submitter, Paul White

    Press Releases Published: 12/04/2016 Last modified: 12/04/2016
    This is the FCA’s fourth public action against a trader for manipulating LIBOR submissions, and follows fines and bans in early 2015 for senior executives for LIBOR compliance failures. ... The FCA has imposed 7 fines, totalling £426 million, on firms