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Showing 1 to 11 of 82 search results for FCA fines compliance officer and broker.

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 compliance officer and broker whose actions enabled market abuse to be committed in October 2010

   Press Releases Published: 08/08/2013 Last modified: 17/09/2013
   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

7. 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. 

8. Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR

   Press Releases Published: 22/01/2015 Last modified: 22/01/2015
   The Financial Conduct Authority (FCA) has fined and banned two former senior executives of interdealer broker Martin Brokers (UK) Limited (‘Martins’) for compliance and cultural failings at the firm. ... David Caplin (former chief executive) was

9. Former chief executive of stockbroker firm fined £450,000 and banned

   Press Releases Published: 13/03/2015 Last modified: 13/03/2015
   A sample review of Gracechurch broker calls showed that brokers persistently ignored refusals by several clients to buy stock, repeatedly made calls to particular clients until the clients were persuaded, ignored ... In December 2012, the FCA publicly

10. Tribunal partly upholds the Financial Conduct Authority’s decision to fine Tariq Carrimjee for assisting a client to commit market abuse

    Press Releases Published: 06/03/2015 Last modified: 06/03/2015
    Mr Davis, the senior partner and compliance officer at Paul E Schweder Miller & Co and Vandana Parikh, the broker at the same firm who executed the trades, were fined £70,258 ... The FCA has an overarching strategic objective of ensuring the relevant

11. Culture and conduct - extending the accountability regime

    Speeches Published: 20/09/2017 Last modified: 20/09/2017
    Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at City and Financial Summit, London.