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Showing 12 to 21 of 1934 search results for FCA fines compliance.

  1. Fines

    Table of fines with links to further information.

  2. 2023 fines

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

  3. 2016 fines

    News stories Published: 02/01/2016 Last modified: 02/02/2017
    This table contains information about fines published during the calendar year ending 2016. The total amount of fines is £22,216,446 (excluding Mr Shay Jacob Reches' additional penalty).

  4. 2013 fines

    News stories Published: 02/01/2013 Last modified: 26/03/2024
    Fines published during the calendar year ending December 2013.

  5. FCA fines Charles Schwab UK £8.96 million over safeguarding and compliance failures

    Press Releases Published: 21/12/2020 Last modified: 21/12/2020
    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.

  6. Information on fines for lack of voice recording compliance - March 2022

    FOI Release Date of Release: 14/03/2022
    The FCA provides information on fines for lack of voice recording compliance.

  7. The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer

    Press Releases Published: 03/10/2013 Last modified: 07/02/2022
    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.

  8. Firms

    Firms Last modified: 27/07/2022
    Tasks for regulated firms and authorisation information for new firms

  9. FCA fines CGML £27,766,200 for failures in its trading systems and controls

    Press Releases Published: 22/05/2024 Last modified: 22/05/2024
    The FCA has fined Citigroup Global Markets Limited (CGML) £27,766,200.

  10. Creating and sustaining cultures of compliance: insights from psychology and beyond

    Insight Published: 16/12/2016 Last modified: 17/02/2017
    Understanding the social and psychological influences on decision making is important to improving regulatory compliance, according to FCA economist Peter Lukacs. ... regulators could be missing a trick when it comes to improving effective compliance.

  11. 2014 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 2014. 
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