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Showing 122 to 131 of 32562 search results for FCA fines.
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Fines
Table of fines with links to further information. -
FCA Final Notice 2013: Policy Administration Services Limited [pdf]
This final notice refers to breaches of PRIN 3 and 6 related to complaints-handling, and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine. -
Keeping your firm's details up to date
Learn how to keep your firm’s details up to date, and about the Firm Details Attestation and Directory Persons' Attestation. -
FCA Final Notice 2013: Mr Rahul Shah [pdf]
This final notice refers to breaches of MAR related to market abuse in the investment adviser sector. We imposed a fine and prohibition. -
FCA fines Julius Baer International Limited £18m and publishes decision notices for three individuals
We have fined Julius Baer International Limited £18,022,500 for failing to conduct its business with integrity, failing to take reasonable care to organise and control its affairs and failing to be open and cooperative with the FCA. -
Change in Control
Find out when you need to notify us to acquire or change control in a firm that we regulate. -
DFINEXMARKET
DFINEXMARKET is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals. -
FCA Final Notice 2014: Sesame Limited [pdf]
This final notice refers to breaches of PRIN 8 and COBS related to conflicts of interest in the life insurance and investment adviser sector. We imposed a fine. -
Approved Persons Regime
Approved persons carry out certain activities on a firm's behalf and must be regulated by us. Learn about our requirements, conduct rules and 'fit and proper' test. -
FCA fines Xcap Securities PLC £120,900 for client asset failings and applies new penalty regime
The Financial Conduct Authority (FCA) has fined Xcap Securities PLC (Xcap), a retail investment and capital markets business, £120,900 for failing to adequately protect client money and client assets. This is the first client asset case the FCA has -
Final Notice 2013: Michael Coscia [pdf]
This final notice refers to breaches of MAR related to market abuse in the trading frims sector. We imposed a fine.