Search results
Showing 43 to 52 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. -
The FCA decides to ban and fine Timothy Roberts and Andrew Wilkins
FCA has published decision notices against Timothy Roberts, the chief executive, and Andrew Wilkins, a former director of Catalyst Investment Group Limited (Catalyst). -
FCA fines TFS-ICAP £3.44 million for market misconduct
The Financial Conduct Authority (FCA) has fined TFS-ICAP Ltd, an FX options broker, £3.44m for communicating misleading information to clients. -
FCA bans former Rabobank trader, Lee Stewart, following LIBOR fraud
FCA bans former Rabobank trader, Lee Stewart, following LIBOR fraud. Press Releases First published:. ... The Financial Conduct Authority (FCA) has banned Lee Stewart, a former trader at Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A. -
FCA fines Threadneedle Asset Management Limited £6m
FCA fines Threadneedle Asset Management Limited £6m. Press Releases First published:. ... FCA fines Threadneedle Asset Management Limited £6m. -
FCA publishes Decision Notices for Banque Havilland SA and three of its former employees
The FCA has decided to fine Banque Havilland £10m; its former London branch CEO, Edmund Rowland, £352,000; David Weller, a former London branch senior manager, £54,000; and Vladimir Bolelyy, a former London branch employee, £14,200. -
FCA bans and fines two individuals for pension advice failings
Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA). -
Financial watchdog fines Equifax Ltd £11 million for role in one of the largest cyber security breaches in history
FCA fines Equifax £11,164,400 for failing to manage and monitor the security of UK consumer data it had outsourced to its parent company based in the US. -
FCA fines and prohibits trader for market abuse
The FCA has fined Mr Adrian Geoffrey Horn for market abuse and prohibited him from performing any functions in relation to regulated activity. -
Former CFO and Finance Director guilty of misleading investors in case brought by the FCA, former CEO found not guilty
Timothy Coleman, Redcentric Plc's former Chief Financial Officer, has been found guilty of 4 charges concerning the making of false and misleading statements to the market. -
Former Redcentric CFO sentenced to five and a half years imprisonment
Tim Coleman sentenced to five and a half years imprisonment and disqualified from being a director for ten years.