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Showing 1 to 13 of 57 search results for FCA fines former investment banker.

1. Forms

   List of all forms on fca.org.uk  For Handbook forms, please use the Handbook forms page.

2. Fines

   Table of fines with links to further information.

3. Should you invest?

   Get your immediate finances in order before you invest. Pay off any short-term debt, have an emergency cash fund and consider investing more in your pension.

4. 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.

5. 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.

6. 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.

7. 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.

8. FCA fines former investment banker for sharing confidential information over WhatsApp

   Press Releases Published: 30/03/2017 Last modified: 30/03/2017
   The Financial Conduct Authority (FCA) has today fined Christopher Niehaus, a former investment banker, £37,198 for sharing client confidential information over WhatsApp.  The FCA found that Mr Niehaus failed to act with due skill, care and

9. Moving towards a sustainable model of regulation

   Speeches Published: 03/11/2015 Last modified: 03/11/2015
   Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the ABI (Association of British Insurers) Conference in London. This is the text of the speech as drafted, which may differ from the delivered version.

10. 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:. ... FCA fines and bans former Investment Analyst at Aviva Investors.

11. FCA fines GAM International Management and former Investment Director Timothy Haywood

    Press Releases Published: 30/03/2022 Last modified: 30/03/2022
    The Financial Conduct Authority (FCA) has fined asset manager GAM International Management Limited (GIML) and Timothy Haywood, a former Investment Director and Business Unit Head at GIML.

12. FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers

    Press Releases Published: 29/08/2014 Last modified: 29/08/2014
    FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers. ... relation to the promotion of three unregulated collective investment schemes (UCIS) to retail

13. 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.