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Showing 1 to 12 of 126 search results for FCA fines former managing director.

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. 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.

4. 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.

5. 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.

6. 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.

7. FCA fines former managing director £45,000 for failure to notify personal trades

   Press Releases Published: 20/12/2019 Last modified: 20/12/2019
   The FCA has fined Kevin Gorman, a former Managing Director at Braemar Shipping Services plc (Braemar), £45,000 for failure to notify personal trades.

8. 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.

9. FCA fines Towergate and former director Timothy Philip for client and insurer money failings

   Press Releases Published: 13/07/2016 Last modified: 13/07/2016
   FCA fines Towergate and former director Timothy Philip for client and insurer money failings. ... The FCA has also fined former Towergate Client Money Officer and CF1 (director) Timothy Philip £60,000 and banned him from having direct responsibility for

10. 2013 fines

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

11. 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

12. FCA bans and fines two individuals for pension advice failings

    Press Releases Published: 20/03/2015 Last modified: 24/03/2020
    Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA).