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Showing 92 to 101 of 32562 search results for FCA fines.

92. Fines

    Table of fines with links to further information.

93. FCA fines Commerzbank London £37,805,400 over anti-money laundering failures

    Press Releases Published: 17/06/2020 Last modified: 03/07/2020
    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.

94. FCA fines GAM International Management and former Investment Director Timothy Haywood

    Press Releases Published: 30/03/2022 Last modified: 30/03/2022
    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.

95. The FCA fines, publicly censures and orders Jersey resident to pay restitution for insider dealing and improper disclosure

    Press Releases Published: 15/07/2016 Last modified: 15/07/2016
    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

96. Market abuse

    Markets Market abuse Published: 04/05/2016 Last modified: 22/05/2023
    Behaviour such as insider dealing and market manipulation can amount to market abuse. Find out more about the safeguards firms must have in place.

97. Enforcement

    About us How we regulate Published: 21/04/2016 Last modified: 02/04/2024
    Find out more about FCA enforcement powers, including how we protect consumers and act against firms and individuals that don’t meet our standards.

98. FCA fines Stonebridge International Insurance Limited £8.4m in relation to sales of insurance policies

    Press Releases Published: 07/08/2014 Last modified: 07/08/2014
    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.

99. Benchmark enforcement

    Markets Published: 22/04/2016 Last modified: 14/12/2022
    We have taken action where we have seen evidence of attempted benchmark manipulation. Learn more about the results of these actions.

100. Learning the lessons of the past as an industry

     Speeches Published: 02/12/2014 Last modified: 04/02/2015
     After all, despite their efforts to lead the change, we continue to fine firms for past bad practice. ... One the one hand you have those who say that the fines are too large and unfairly penalise shareholders.

101. FCA fines Citigroup’s international broker-dealer £12.6m for failures relating to the detection of market abuse

     Press Releases Published: 19/08/2022 Last modified: 19/08/2022
     The FCA has fined Citigroup Global Markets Limited (Citigroup Global Markets) £12,553,800 for failing to properly implement Market Abuse Regulation (MAR) requirements, relating to the detection of market abuse.

102. Financial Services Register

     Registers and systems Published: 28/04/2016 Last modified: 04/11/2022
     The Financial Services Register is a public record of firms, individuals and other bodies that are PRA and/or FCA authorised. Search the register to find out if a firm is registered.