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Showing 72 to 81 of 32423 search results for FCA fines.

  1. Fines

    Table of fines with links to further information.

  2. FCA fines Deutsche Bank £163 million for serious anti-money laundering controls failings

    Press Releases Published: 31/01/2017 Last modified: 31/01/2017
    The Financial Conduct Authority (FCA) has today fined Deutsche Bank AG (Deutsche Bank) £163,076,224 for failing to maintain an adequate anti-money laundering (AML) control framework during the period between 1 January 2012 and 31 December

  3. FCA fines three broker firms £4,775,200 for failures relating to the detection of market abuse

    Press Releases Published: 08/12/2022 Last modified: 08/12/2022
    The FCA has fined BGC Brokers LP, GFI Brokers Limited and GFI Securities Limited for failing to ensure they had appropriate systems and controls in place to effectively detect market abuse.

  4. FCA fines Gatehouse Bank £1.5m for poor anti-money laundering checks

    Press Releases Published: 14/10/2022 Last modified: 14/10/2022
    The Financial Conduct Authority has fined Gatehouse Bank Plc £1,584,100 for significant weakness in its financial crime systems and controls.

  5. FCA fines Ghana International Bank Plc £5.8m for failings in its anti-money laundering controls

    Press Releases Published: 23/06/2022 Last modified: 23/06/2022
    Ghana International Bank Plc (GIB) £5,829,900 for poor anti-money laundering and counter-terrorist financing controls.

  6. FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches

    Press Releases Published: 26/11/2013 Last modified: 29/11/2016
    FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches. ... As some of the issues occurred before the FCA’s new penalty regime was introduced in March 2010, the fine was calculated using a combination of the new and old approach.

  7. 2016 Disclosure Log

    Last modified: 30/01/2020
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2016. 

  8. FCA fines Charles Schwab UK £8.96 million over safeguarding and compliance failures

    Press Releases Published: 21/12/2020 Last modified: 21/12/2020
    The Financial Conduct Authority (FCA) has fined Charles Schwab UK Ltd (CSUK) £8.96 million for failing to adequately protect client assets, carrying out a regulated activity without permission and making a false statement to the FCA.

  9. 2014 Disclosure Log

    Last modified: 30/01/2020
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2014. 

  10. FCA fines guarantor lender TFS Loans Ltd (in administration) and requires it to provide redress to affected guarantors

    Press Releases Published: 10/06/2022 Last modified: 10/06/2022
    We have fined TFS Loans Ltd (in administration) £811,900 in relation to deficient affordability checks on 3,150 guarantors in its consumer credit business.

  11. Financial watchdog fines Equifax Ltd £11 million for role in one of the largest cyber security breaches in history

    Press Releases Published: 13/10/2023 Last modified: 17/10/2023
    FCA fines Equifax £11,164,400 for failing to manage and monitor the security of UK consumer data it had outsourced to its parent company based in the US.
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