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Showing 1 to 11 of 662 search results for FCA fines Aviva.

1. Fines

   Table of fines with links to further information.

2. 2021 fines

   News stories Published: 04/03/2021 Last modified: 17/12/2021
   This page contains information about enforcement fines published during the calendar year ending 2021.

3. 2020 fines

   News stories Published: 21/01/2020 Last modified: 02/12/2022
   This page contains information about enforcement fines published during the calendar year ending 2020.

4. 2019 fines

   News stories Published: 16/01/2019 Last modified: 20/01/2020
   This page contains information about enforcement fines published during the calendar year ending 2019.

5. 2018 fines

   News stories Published: 08/01/2018 Last modified: 15/01/2019
   This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212.

6. FCA fines Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited £8.2m for Client Money and Assets failings

   Press Releases Published: 05/10/2016 Last modified: 03/11/2016
   The Financial Conduct Authority (FCA) has today fined Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited (together Aviva) £8,246,800 for failings in its oversight of its outsourced providers in relation to the protection of client assets.

7. FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly

   Press Releases Published: 24/02/2015 Last modified: 24/02/2015
   FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly. ... While Aviva Investors’ failings were serious, the FCA has recognised that its actions since reporting its failings

8. 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.

9. Final Notice 2015: Aviva Investors Global Services Limited [pdf]

   Final notices Published: 24/02/2015 Last modified: 24/02/2015
   This final notice refers to breaches of PRIN 3, PRIN 8 and COBS related to unfair treatment of customers, conflicts of interest and culture / governance in the Asset management sector. We imposed a fine.

10. 2016 fines

    News stories Published: 02/01/2016 Last modified: 02/02/2017
    This table contains information about fines published during the calendar year ending 2016. The total amount of fines is £22,216,446 (excluding Mr Shay Jacob Reches' additional penalty).

11. 2015 fines

    News stories Published: 02/01/2015 Last modified: 04/04/2017
    This table contains information about fines published during the calendar year ended December 2015. The total amount of fines is £905,219,078.