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Showing 62 to 71 of 32423 search results for FCA fines.

  1. Fines

    Table of fines with links to further information.

  2. FCA fines RBS, NatWest and Ulster Bank Ltd £42 million for IT failures

    Press Releases Published: 20/11/2014 Last modified: 20/11/2014
    FCA fines RBS, NatWest and Ulster Bank Ltd £42 million for IT failures. ... Today’s fine is the first time the FCA and the Prudential Regulation Authority (PRA) have taken joint enforcement action.The PRA has fined the Banks £14 million.

  3. FCA fines Metro Bank PLC £10 million and publishes Decision Notices for two of its former executive directors

    Press Releases Published: 12/12/2022 Last modified: 12/12/2022
    Metro Bank PLC fined £10,002,300 for breaching the Listing Rules by publishing incorrect information to investors.

  4. FCA fines former managing director £45,000 for failure to notify personal trades

    Press Releases Published: 20/12/2019 Last modified: 20/12/2019
    The FCA has fined Kevin Gorman, a former Managing Director at Braemar Shipping Services plc (Braemar), £45,000 for failure to notify personal trades.

  5. Benchmark fines [pdf]

    Documents Published: 20/05/2015 Last modified: 20/05/2015

  6. FCA fines and bans former Deutsche Bank trader, Guillaume Adolph

    Press Releases Published: 05/03/2018 Last modified: 05/03/2018
    The Financial Conduct Authority (FCA) has fined Guillaume Adolph £180,000 and banned him from performing any function in relation to any regulated financial activity.

  7. FCA fines Execution Noble & Company Limited £231,000 for failings as a sponsor

    Press Releases Published: 06/01/2015 Last modified: 08/11/2016
    FCA fines Execution Noble & Company Limited £231,000 for failings as a sponsor. ... This is the first use of the FCA’s power to fine sponsors, introduced in 2013.

  8. Transaction reporting fines

    Markets Transaction reporting Published: 28/05/2016 Last modified: 11/01/2023
    Find out how the FCA are able to effectively monitor for market abuse.

  9. FCA fines and prohibits hedge fund Chief Investment Officer for market abuse

    Press Releases Published: 15/12/2020 Last modified: 15/12/2020
    The FCA has fined Corrado Abbattista, formerly a portfolio manager, partner and Chief Investment Officer at Fenician Capital Management LLP, £100,000 for market abuse and prohibited him from performing any functions in relation to regulated

  10. Firms

    Firms Last modified: 27/07/2022
    Tasks for regulated firms and authorisation information for new firms

  11. FCA fines Prudential £23,875,000 for failures relating to non-advised annuities sales

    Press Releases Published: 30/09/2019 Last modified: 30/09/2019
    The Financial Conduct Authority (FCA) has fined The Prudential Assurance Company Limited (Prudential) £23,875,000 for failures related to non-advised sales of annuities. 
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