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Showing 1 to 12 of 163 search results for FCA fines and bans former.

1. Forms

   List of all forms on fca.org.uk  For Handbook forms, please use the Handbook forms page.

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 and bans former RBS trader, Neil Danziger

   Press Releases Published: 08/01/2018 Last modified: 08/01/2018
   The Financial Conduct Authority (FCA) has imposed a financial penalty of £250,000 on former Royal Bank of Scotland (RBS) interest rate derivatives trader, Neil Danziger, and prohibited him from performing any function in relation to any regulated

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. FCA fines and bans former Deutsche Bank trader, Guillaume Adolph

   Press Releases Published: 05/03/2018 Last modified: 05/03/2018
   The Financial Conduct Authority (FCA) has fined Guillaume Adolph £180,000 and banned him from performing any function in relation to any regulated financial activity.

10. FCA bans and fines former insurance broker £140,000

    Press Releases Published: 19/07/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined and banned Paul Cable of Bromley, Kent £140,000 for failing to act with integrity.

11. Tribunal upholds FCA decision to fine and ban former hedge fund CEO Alberto Micalizzi

    Press Releases Published: 30/07/2014 Last modified: 30/07/2014
    Tribunal upholds FCA decision to fine and ban former hedge fund CEO Alberto Micalizzi. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

12. Upper Tribunal upholds the FCA decision to fine and ban former Keydata executives

    Press Releases Published: 06/11/2018 Last modified: 06/11/2018
    The Upper Tribunal has today upheld the Financial Conduct Authority’s (FCA) decision to fine and ban Stewart Ford and Mark Owen, the former CEO and sales director respectively of Keydata Investment Services Ltd (Keydata).