Search results

Showing 1 to 11 of 29 search results for FCA fines and prohibits hedge fund.

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 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

7. 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. ... out his functions in connection with his role at Dynamic Decisions, a now defunct hedge fund.

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:. ... When trading on behalf of a hedge fund, Mr Miah was required to report the details of the trade within an hour of the trade being executed.

9. 2015 Disclosure Log

   Last modified: 30/01/2020
   The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2015. 

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. FCA bans two individuals for lack of integrity

    Press Releases Published: 09/06/2016 Last modified: 09/06/2016
    While further investigations continue, the FCA considers it necessary to prohibit them to help protect consumers.”. ... He also misled the FCA in a compelled interview. The FCA cannot fine either individual because they were not approved persons at the