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Showing 82 to 91 of 32423 search results for FCA fines.
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Fines
Table of fines with links to further information. -
Supervision
Find out more about the FCA's approach to supervising firms. -
FCA fines Bastion Capital London Limited £2.5m for serious financial control failings
The FCA has fined Bastion Capital London Limited (in liquidation) £2,452,700 for serious financial crime control failings in relation to cum-ex trading. -
FCA fines PPC for misleading consumers and banks in first CMC case closed by the regulator
The Financial Conduct Authority (FCA) has fined Professional Personal Claims Limited (PPC) £70,000 for misleading consumers through its websites and printed materials. -
FCA fines Commerzbank London £37,805,400 over anti-money laundering failures
The FCA has today fined Commerzbank AG (London Branch) £37,805,400 for failing to put adequate anti-money laundering (AML) systems and controls in place between October 2012 and September 2017. -
FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function
FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function. ... The FCA has also banned Mr Bell from performing the compliance oversight function. -
FCA fines Sunrise Brokers LLP £642,400 for serious financial crime control failings in relation to cum-ex trading
Sunrise Brokers LLP has been fined over £600,000 for deficient anti money laundering systems and controls -
The FCA fines, publicly censures and orders Jersey resident to pay restitution for insider dealing and improper disclosure
The FCA fines, publicly censures and orders Jersey resident to pay restitution for insider dealing and improper disclosure. ... He also passed the inside information onto another shareholder. In addition to the fine and censure, the FCA has ordered Mr -
FCA fines GAM International Management and former Investment Director Timothy Haywood
The Financial Conduct Authority (FCA) has fined asset manager GAM International Management Limited (GIML) and Timothy Haywood, a former Investment Director and Business Unit Head at GIML. -
2015 Disclosure Log
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 2015. -
FCA fines Stonebridge International Insurance Limited £8.4m in relation to sales of insurance policies
FCA fines Stonebridge International Insurance Limited £8.4m in relation to sales of insurance policies. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.