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Showing 1 to 12 of 12 search results for FCA fines Merrill Lynch £34.5 million.
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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). -
Fines
Table of fines with links to further information. -
2021 fines
This page contains information about enforcement fines published during the calendar year ending 2021. -
2020 fines
This page contains information about enforcement fines published during the calendar year ending 2020. -
2019 fines
This page contains information about enforcement fines published during the calendar year ending 2019. -
2018 fines
This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212. -
FCA fines Merrill Lynch £34.5 million for failing to report transactions
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. -
FCA fines Merrill Lynch International £13.2 million for transaction reporting failures
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 -
2017 fines
This table contains information about fines published during the calendar year ending 2017. The total amount of fines is £229,515,303. -
Transaction reporting fines
Find out how the FCA are able to effectively monitor for market abuse. -
FCA fines UBS AG £27.6 million for transaction reporting failures
UBS AG (UBS) has been fined £27,599,400 by the Financial Conduct Authority (FCA) for failings relating to 135.8 million transaction reports between November 2007 and May 2017. -
FCA fines Goldman Sachs International £34.3 million for transaction reporting failures
Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017.