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Showing 22 to 31 of 32423 search results for FCA fines.
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Fines
Table of fines with links to further information. -
2017 fines
This table contains information about fines published during the calendar year ending 2017. The total amount of fines is £229,515,303. -
FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions
The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in -
2024 fines
Enforcement fines published in 2024. -
2014 fines
This table contains information about fines published during the calendar year ended December 2014. The total amount of fines is £1,471,431,800. -
FCA fines Merrill Lynch £34.5 million for failing to report transactions
Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and 6 February 2016. -
FCA fines and bans wife and bans husband financial advisor for lack of integrity
The Financial Conduct Authority (FCA) has banned Mrs Colette Chiesa and Mr John Chiesa from working in financial services for integrity failings. Additionally, Mrs Chiesa has been fined £50,000 for attempting to mislead the FCA during an FCA -
FCA fines US based oil trader US $903K for market manipulation
The Financial Conduct Authority (FCA) has fined US based High Frequency Trader, Michael Coscia, US $903,176 (£597,993) for deliberate manipulation of commodities markets. -
FCA fines The Carphone Warehouse over £29m for insurance mis-selling
The Financial Conduct Authority (FCA) has fined The Carphone Warehouse £29,107,600 for failings that led to the mis-selling of ’Geek Squad’, a mobile phone insurance and technical support product. This follows an FCA investigation which stemmed -
FCA fines and bans financial adviser for insider dealing
FCA fines and bans financial adviser for insider dealing. Press Releases First published:. ... FCA fines and bans financial adviser for insider dealing. -
2013 fines
Fines published during the calendar year ending December 2013.