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Showing 102 to 111 of 32562 search results for FCA fines.

  1. Fines

    Table of fines with links to further information.

  2. FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010

    Press Releases Published: 08/08/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and

  3. Contact us

    Last modified: 08/04/2024
    If you have a query, comment or complaint about the FCA you can contact us by web chat, email or phone.

  4. The fairness challenge

    Speeches Published: 24/10/2013 Last modified: 25/10/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at Mansion House, London. This is the text of the speech as drafted, which may differ from the delivered version.

  5. Guy Flintham sentenced to 6 years for fraud over unauthorised investment scheme

    Press Releases Published: 17/05/2024 Last modified: 17/05/2024
    Following a hearing at Southwark Crown Court, Guy Flintham, 46, was today sentenced to 6 years for fraud.

  6. About us

    About us Last modified: 13/12/2023
    The FCA aims to make financial markets work well so that consumers get a fair deal. Find out more about what we do.

  7. FCA fines Sigma Broking Limited £530,000 and bans and fines its former directors following market abuse reporting failures

    Press Releases Published: 06/10/2022 Last modified: 06/10/2022
    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.

  8. FCA fines The Bank of New York Mellon London branch and The Bank of New York Mellon International Limited £126 million for failure to comply with the Custody Rules

    Press Releases Published: 15/04/2015 Last modified: 15/04/2015
    FCA fines The Bank of New York Mellon London branch and The Bank of New York Mellon International Limited £126 million for failure to comply with the Custody Rules. ... Georgina Philippou, acting director of enforcement and market oversight at the FCA

  9. FCA fines insurance broker JLT Specialty Limited £7.8m for financial crime control failings

    Press Releases Published: 22/06/2022 Last modified: 22/06/2022
    We have fined JLT Specialty Limited (JLTSL) £7,881,700 for financial crime control failings.

  10. 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. ... On 1 April 2014, the FCA took over responsibility for consumer credit regulation.

  11. FCA fines Yorkshire Building Society £4,135,600 for failings in dealing with customers in mortgage arrears

    Press Releases Published: 29/10/2014 Last modified: 29/10/2014
    FCA fines Yorkshire Building Society £4,135,600 for failings in dealing with customers in mortgage arrears. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.
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