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Showing 32 to 41 of 1398 search results for total fines.
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Fines
Table of fines with links to further information. -
FCA fines Bluefin £4m for misleading customers
The Financial Conduct Authority (FCA) has today fined Bluefin Insurance Services Limited (Bluefin) £4,023,800 for having inadequate systems and controls and failing to provide information to its customers about Bluefin’s independence in a way -
FCA fines and prohibits trader for market abuse
The FCA has fined Mr Adrian Geoffrey Horn for market abuse and prohibited him from performing any functions in relation to regulated activity. -
FCA fines TFS-ICAP £3.44 million for market misconduct
The Financial Conduct Authority (FCA) has fined TFS-ICAP Ltd, an FX options broker, £3.44m for communicating misleading information to clients. -
FCA fines Threadneedle Asset Management Limited £6m
FCA fines Threadneedle Asset Management Limited £6m. Press Releases First published:. ... TAML received a 20 per cent Stage 2 settlement discount, without which the fine would have been £7,548,130. -
Financial watchdog fines Equifax Ltd £11 million for role in one of the largest cyber security breaches in history
FCA fines Equifax £11,164,400 for failing to manage and monitor the security of UK consumer data it had outsourced to its parent company based in the US. -
FCA fines and bans wife and bans husband financial advisor for lack of integrity
The Financial Conduct Authority (FCA) has banned Mrs Colette Chiesa and Mr John Chiesa from working in financial services for integrity failings. Additionally, Mrs Chiesa has been fined £50,000 for attempting to mislead the FCA during an FCA -
FSA issues fines totalling £4.2m for transaction reporting failures
The Financial Services Authority (FSA) has fined three firms a total of £4.2m for failing to provide accurate and timely transaction reports to the FSA. -
Attestations
Fine out how and why the FCA uses attestations as a supervisory tool. -
FCA fines and bans financial adviser for insider dealing
FCA fines and bans financial adviser for insider dealing. Press Releases First published:. ... 582 shares in Ashcourt Rowan for a total of £15,011.82. -
FCA fines Bank of Scotland for failing to report suspicions of fraud at HBOS Reading
The Financial Conduct Authority (FCA) has today fined Bank of Scotland (BOS) £45,500,000 for failures to disclose information about its suspicions that fraud may have occurred at the Reading-based Impaired Assets (IAR) team of Halifax Bank of