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Showing 1 to 11 of 722 search results for FCA fines and prohibits.

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 prohibits trader for market abuse

   Press Releases Published: 04/03/2021 Last modified: 04/03/2021
   The FCA has fined Mr Adrian Geoffrey Horn for market abuse and prohibited him from performing any functions in relation to regulated activity.

7. FCA fines and prohibits hedge fund Chief Investment Officer for market abuse

   Press Releases Published: 15/12/2020 Last modified: 15/12/2020
   The FCA has fined Corrado Abbattista, formerly a portfolio manager, partner and Chief Investment Officer at Fenician Capital Management LLP, £100,000 for market abuse and prohibited him from performing any functions in relation to regulated

8. FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function

   Press Releases Published: 13/03/2015 Last modified: 13/03/2015
   FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function. ... The FCA has also banned Mr Bell from performing the compliance oversight function.

9. The FCA fines and prohibits financial adviser for failing to act with integrity and for failing to be open and honest with the regulator

   Press Releases Published: 01/09/2016 Last modified: 06/03/2017
   The Financial Conduct Authority (FCA) has today banned Elizabeth Anne Parry from performing any function in relation to any regulated financial activity and fined her £109,400 for lying repeatedly to the regulator when asked about her qualification

10. FCA prohibits and fines Omar Hussein for pension switching advice failings

    Press Releases Published: 15/10/2021 Last modified: 15/10/2021
    The FCA has fined Omar Hussein for providing reckless and unsuitable pension switching advice. Mr Hussein has been fined £116,000.

11. 2023 fines

    News stories Published: 12/01/2023 Last modified: 04/04/2024
    Enforcement fines published in 2023.