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Showing 23 to 32 of 162 search results for FCA fines and bans former.
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Forms
List of all forms on fca.org.uk For Handbook forms, please use the Handbook forms page. -
Fines
Table of fines with links to further information. -
FCA bans and fines two individuals for pension advice failings
Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA). -
The Financial Conduct Authority bans former Deutsche Bank trader, Christian Bittar
The Financial Conduct Authority (FCA) has banned Christian Bittar from performing any function in relation to any regulated financial activity. -
Two individuals face bans and £1.3m fine for pension transfer advice failings
The FCA has decided to fine Toni Fox £681,536 and David Price £632,594 for their roles in operating a flawed pension advice process. -
FCA bans and fines Floris Jakobus Huisamen over London Capital & Finance plc financial promotions
The FCA has fined a former director of London Capital & Finance plc (LCF) £31,800 and banned him from working in financial services. Floris Jakobus Huisamen was responsible for compliance at LCF but recklessly signed off hundreds of financial -
FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings
Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA). -
Tribunal upholds the Financial Conduct Authority’s decision to censure Arch Financial Products and to fine and ban two of its partners
The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to issue a public censure against Arch Financial Products LLP (Arch), and to prohibit Robin Farrell, its chief executive, and Robert Addison, a senior -
FCA fines financial advice firm and bans Arthur Cobill and William Hofstetter for British Steel Pension Scheme advice and oversight failings
The FCA has fined Inspirational Financial Management Ltd (IFM), which is in administration, £897,840. -
Former chief executive of stockbroker firm fined £450,000 and banned
This significant fine and ban sends a strong message to those who run financial services firms, that they will be made to answer for misconduct and that we will take particularly ... In December 2012, the FCA publicly censured Gracechurch and banned -
The changing face of financial crime
Speech by Martin Wheatley, Chief Executive, the FCA, at the FCA Financial Crime Conference, London. -
How to change in response to changing threats
Speech by Sarah Pritchard, Executive Director of Markets, and Executive Director of International, at XLOD Global New York – The Future of Non-Financial Risk & Control across the 3 Lines of Defence.