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Showing 1 to 11 of 1918 search results for FCA fines compliance.
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Fines
Table of fines with links to further information. -
2021 fines
This page contains information about enforcement fines published during the calendar year ending 2021. -
2020 fines
This page contains information about enforcement fines published during the calendar year ending 2020. -
2019 fines
This page contains information about enforcement fines published during the calendar year ending 2019. -
2018 fines
This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212. -
FCA fines compliance oversight officer for pension transfer failings
The Financial Conduct Authority (FCA) has today fined David Watters £75,000 for failing to exercise due skill, care and diligence in his role as compliance oversight officer, firstly at FGS McClure Watters (FGS) and then Lanyon Astor Buller Ltd (LAB -
FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010
The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and -
Information on fines for lack of voice recording compliance - March 2022
The FCA provides information on fines for lack of voice recording compliance. -
FCA fines Charles Schwab UK £8.96 million over safeguarding and compliance failures
The Financial Conduct Authority (FCA) has fined Charles Schwab UK Ltd (CSUK) £8.96 million for failing to adequately protect client assets, carrying out a regulated activity without permission and making a false statement to the FCA. -
The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer
he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010. -
FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function
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.