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Showing 1 to 10 of 10 search results for FCA fines Aviva Investors £17.6m.

1. Financial Services Register

   To look up details of firms, use The Financial Services Register. The register is a public record that shows details of firms, individuals and other bodies that are, or have been, regulated by the Prudential Regulation Authority (PRA) and/or the Financial Conduct Authority (FCA).

2. Fines

   Table of fines with links to further information.

3. 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.

4. 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.

5. 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.

6. 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.

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. ... The Financial Conduct Authority (FCA) has fined Aviva Investors Global Services Limited (Aviva Investors) £17,607,000

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:. ... The FCA fined Aviva Investors £17.6 million in relation to its failings on 24 February 2015.

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. 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.