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Showing 1 to 11 of 21 search results for FCA fines Merrill Lynch.

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 Merrill Lynch £34.5 million for failing to report transactions

   Press Releases Published: 23/10/2017 Last modified: 23/10/2017
   Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and 6 February 2016.

7. FCA fines Merrill Lynch International £13.2 million for transaction reporting failures

   Press Releases Published: 22/04/2015 Last modified: 22/04/2015
   FCA fines Merrill Lynch International £13.2 million for transaction reporting failures. ... Proper transaction reporting really matters. Merrill Lynch International has failed to get this right again – despite a Private Warning, a previous fine, and

8. Final Notice 2015: Merrill Lynch International [pdf]

   Final notices Published: 22/04/2015 Last modified: 22/04/2015
   This final notice refers to breaches of SUP related to transaction reporting in the investment bank sector. We imposed a fine.

9. Final Notice 2017: Merrill Lynch International [pdf]

   Final notices Published: 23/10/2017
   This final notice refers to breaches of PRIN 3 and Article 9 of EMIR relating to transaction reporting in the investment banking sector. We imposed a fine.

10. 2017 fines

    News stories Published: 31/01/2017 Last modified: 07/03/2019
    This table contains information about fines published during the calendar year ending 2017. The total amount of fines is £229,515,303. 

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.