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Showing 1 to 11 of 179 search results for FCA fines and bans financial adviser.

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 and bans financial adviser for insider dealing

   Press Releases Published: 13/05/2016 Last modified: 13/05/2016
   FCA fines and bans financial adviser for insider dealing. Press Releases First published:. ... FCA fines and bans financial adviser for insider dealing.

7. FCA bans and fines financial adviser £68,300 for lacking honesty and integrity

   Press Releases Published: 15/04/2021 Last modified: 15/04/2021
   The FCA has banned Simon Varley from working in financial services and fined him £68,300 for knowingly performing a controlled function without approval.

8. Upper Tribunal upholds the Financial Conduct Authority’s decision to fine and ban Charles Palmer former CEO of adviser network

   Press Releases Published: 09/08/2017 Last modified: 09/08/2017
   On 8 August 2017, the  Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Charles Palmer, former CEO of Financial Limited and Investments Limited (“the Firms”), from performing FCA significant influence functions. 

9. FCA fines and bans wife and bans husband financial advisor for lack of integrity

   Press Releases Published: 12/10/2017 Last modified: 12/10/2017
   The Financial Conduct Authority (FCA) has banned Mrs Colette Chiesa and Mr John Chiesa from working in financial services for integrity failings. Additionally, Mrs Chiesa has been fined £50,000 for attempting to mislead the FCA during an FCA

10. FCA fines financial advice firm and bans Arthur Cobill and William Hofstetter for British Steel Pension Scheme advice and oversight failings

    Press Releases Published: 11/03/2024 Last modified: 11/03/2024
    The FCA has fined Inspirational Financial Management Ltd (IFM), which is in administration, £897,840.

11. FCA fines Sesame Ltd for ‘pay-to-play’ arrangements

    Press Releases Published: 30/10/2014 Last modified: 30/10/2014
    FCA fines Sesame Ltd for ‘pay-to-play’ arrangements. Press Releases First published:. ... Sesame Ltd, the UK’s largest network of financial advisers, has been fined £1,598,000 by the Financial Conduct Authority (FCA) for setting up a pay-to-play