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Showing 82 to 91 of 636 search results for fines Equifax.
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Fines
Table of fines with links to further information. -
Supervision of UK regulated covered bonds
Find out about our role supervising regulated covered bond programmes and regulated covered bonds, key features of the regime and stress testing. -
The FCA fines Tullett Prebon £15.4 million
The Financial Conduct Authority (FCA) has fined Tullett Prebon (Europe) Limited (Tullett Prebon) £15.4 million for failing to conduct its business with due skill, care and diligence, failing to have adequate risk management systems and for failing -
Final Notice 2013: Michael Coscia [pdf]
This final notice refers to breaches of MAR related to market abuse in the trading frims sector. We imposed a fine. -
FCA Final Notice 2014: Sesame Limited [pdf]
This final notice refers to breaches of PRIN 8 and COBS related to conflicts of interest in the life insurance and investment adviser sector. We imposed a fine. -
Culture and governance
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the MetricStream Governance, Risk and Compliance Summit in London. This is the text of the speech as drafted, which may differ from the delivered version. -
The regulatory challenge
We start with history - we start with scandals and missteps, we start with large fines and larger redress bills, we start with an industry where some have progressed because they did -
FCA Final Notice 2013: Coöperatieve Centrale Raiffeisen–Boerenleenbank B.A. (Rabobank) [pdf]
This final notice refers to breaches of PRIN 2, PRIN 3, and PRIN 5 related to benchmarks in the investment banks sector. We imposed a fine. -
FCA Final Notice 2013: Westwood Independent Financial Planners [pdf]
This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to mis-selling and unfair treatment of customers in the investment advisers and platforms sector. We imposed a fine. -
FCA fines former fund manager Paul Stephany
The Financial Conduct Authority (FCA) has fined Paul Stephany, a former fund manager at Newton Investment Management Limited, £32,200 for his conduct in relation to an Initial Public Offering (IPO) and a placing. -
FCA Final Notice 2014: Ewan King [pdf]
This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.