Search results
Showing 33 to 42 of 901 search results for FCA fines former.
-
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 bond trader £60,000 for market abuse
The Financial Conduct Authority (FCA) has imposed on Paul Walter, a former Bank of America Merrill Lynch International Limited (BAML) bond trader, a financial penalty of £60,090 for engaging in market abuse. -
FCA bans and fines James Lewis £120,300 for putting investors at risk
James Lewis, the former CEO of Shard Capital Partners, has been fined £120,300 and banned by the FCA. -
FCA bans and fines two individuals for market abuse
The Financial Conduct Authority (FCA) has banned and imposed financial penalties on two former Worldspreads Limited (WSL) employees. WSL, which operated a spread betting business, collapsed in March 2012. -
Former Investment Portfolio Manager charged with insider dealing
The Financial Conduct Authority (FCA) has instituted criminal proceedings against Mark Alexander Lyttleton (date of birth 9 June 1971), a former Investment Portfolio Manager at Blackrock Investment Management (UK) Ltd. Mr Lyttleton is charged with -
FCA fines Sir Christopher Gent for disclosing inside information
The Financial Conduct Authority (FCA) has fined Sir Christopher Gent, former non-executive Chairman of ConvaTec Group Plc, £80,000 for unlawfully disclosing inside information. -
Former chief executive of stockbroker firm fined £450,000 and banned
In December 2012, the FCA publicly censured Gracechurch and banned former Gracechurch compliance officer Carl Davey from holding a position in the financial services industry. ... The FCA would have fined him £175,000 had it not been for the serious -
Learning the lessons of the past as an industry
After all, despite their efforts to lead the change, we continue to fine firms for past bad practice. ... One the one hand you have those who say that the fines are too large and unfairly penalise shareholders. -
FCA publishes Decision Notice against former CEO of Sonali Bank (UK) Ltd for AML failings
The Financial Conduct Authority (FCA) has today published a Decision Notice in respect of Mohammad Ataur Rahman Prodhan, the former Chief Executive Officer of Sonali Bank (UK) Limited (SBUK), fining him £76,400. -
Benchmark enforcement
We have taken action where we have seen evidence of attempted benchmark manipulation. Learn more about the results of these actions. -
FCA fines Bluefin £4m for misleading customers
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