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Showing 42 to 51 of 32423 search results for FCA fines.

  1. Fines

    Table of fines with links to further information.

  2. FCA fines UBS AG £27.6 million for transaction reporting failures

    Press Releases Published: 19/03/2019 Last modified: 19/03/2019
    UBS AG (UBS) has been fined £27,599,400 by the Financial Conduct Authority (FCA) for failings relating to 135.8 million transaction reports between November 2007 and May 2017.

  3. FCA fines Reckitt Benckiser £539,800 for listing rule failures

    Press Releases Published: 20/01/2015 Last modified: 30/08/2015
    FCA fines Reckitt Benckiser £539,800 for listing rule failures. Press Releases First published:. ... FCA fines Reckitt Benckiser £539,800 for listing rule failures.

  4. Vogel and Fine

    Warnings Published: 27/10/2010 Last modified: 03/06/2015
    We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself.

  5. The FCA fines Moneybarn £2.77m for unfair treatment of customers in arrears

    Press Releases Published: 17/02/2020 Last modified: 02/03/2020
    The Financial Conduct Authority (FCA) has today imposed a fine of £2.77 million on car finance provider, Moneybarn Ltd (Moneybarn), for not treating customers fairly when they fell behind with loan repayments while in financial difficulties,

  6. FCA fines compliance oversight officer for pension transfer failings

    Press Releases Published: 14/07/2017 Last modified: 14/07/2017
    The Financial Conduct Authority (FCA) has today fined David Watters £75,000 for failing to exercise due skill, care and diligence in his role as compliance oversight officer, firstly at FGS McClure Watters (FGS) and then Lanyon Astor Buller Ltd (LAB

  7. FCA fines and bans former Investment Analyst at Aviva Investors

    Press Releases Published: 17/11/2015 Last modified: 03/09/2016
    FCA fines and bans former Investment Analyst at Aviva Investors. Press Releases First published:. ... FCA fines and bans former Investment Analyst at Aviva Investors.

  8. The FCA fines Rabobank £105 million for serious LIBOR-related misconduct

    Press Releases Published: 29/10/2013 Last modified: 29/10/2013
    The FCA fines Rabobank £105 million for serious LIBOR-related misconduct. Press Releases First published:. ... The FCA fines Rabobank £105 million for serious LIBOR-related misconduct.

  9. FCA fines former investment banker for sharing confidential information over WhatsApp

    Press Releases Published: 30/03/2017 Last modified: 30/03/2017
    The Financial Conduct Authority (FCA) has today fined Christopher Niehaus, a former investment banker, £37,198 for sharing client confidential information over WhatsApp.  The FCA found that Mr Niehaus failed to act with due skill, care and

  10. FCA fines and restricts W H Ireland Limited for market abuse risks

    Press Releases Published: 23/02/2016 Last modified: 23/02/2016
    FCA fines and restricts W H Ireland Limited for market abuse risks. ... The Financial Conduct Authority (FCA) has fined W H Ireland Limited (WHI) £1.2million.

  11. Enforcement

    About us How we regulate Published: 22/04/2016 Last modified: 22/10/2021
    Find out more about FCA enforcement powers, including how we protect consumers and act against firms and individuals that don’t meet our standards.
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