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Showing 1 to 11 of 106 search results for FCA fines and prohibits 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. 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

7. Tribunal upholds the Financial Conduct Authority’s decision to fine investment adviser

   Statements Published: 21/05/2015 Last modified: 21/05/2015
   Tribunal upholds the Financial Conduct Authority’s decision to fine investment adviser. ... The FCA will therefore prohibit Mr Rosier from performing significant influence functions.

8. 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.

9. FCA bans two individuals for lack of integrity

   Press Releases Published: 09/06/2016 Last modified: 09/06/2016
   Mr Kelly provided financial services to UK customers under the name PCD Wealth and Pensions Management (PCD) and Mr Gray was one of his advisers. ... While further investigations continue, the FCA considers it necessary to prohibit them to help protect

10. Upper Tribunal upholds FCA decision to fine and ban Chief Executive of TailorMade Independent Limited, Alistair Burns

    Press Releases Published: 01/08/2018 Last modified: 01/08/2018
    On 31 July 2018, the Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to prohibit Alistair Burns, Director and CF1 of TailorMade Independent Limited (TMI) from performing any FCA significant influence or senior management

11. Consumer investments data review 2020

    Data Published: 18/01/2021 Last modified: 13/06/2023
    A summary of the FCA's work to tackle consumer harm in the investment market, between 1 January and 31 October 2020.